Banco Popular de Puerto Rico

According to a FINRA study, brokers paid 1,310 fines valued at $45 million last year. But what were the most frequent categories of fines? What type of activity should you avoid to avoid the wrath of regulators? Check out the FINRA countdown

Broker-dealers had better be prepared to handle some tough questions on their procedures and controls to mitigate risk and can no longer pass the burdens of meeting SEC requirements to junior managers.

The Financial Industry Regulatory Authority will begin formally examining the operations of broker-dealers this year. Here are 11 holes to plug, based on a FINRA letter to chief compliance officers on Feb. 8.

For three days, advisors descended on San Diego for the TD Ameritrade Institutional Conference. Mike Byrnes of Byrnes Consulting sent some images highlighting the event. (Including looks at his favorite talks, speakers, and even the best booths.)

In 2008, when the global credit crisis exploded, the SEC conducted 772 examinations of the operations of brokers and dealers of financial instruments in the United States. In 2010, that number fell to 490 examinations. The cause? The increasing complexity of the exams that take place. Here are the numbers that result, when the SEC takes on brokers.

According to Wealth-X, the top executives at the ten biggest banks and asset managers on Wall Street have an average net worth of $210 million. Their combined net worth is at least $2.1 billion. Check out the top ten.

2010 was a year of change and transition on Wall Street. UBS turned to Bob McCann to grow its wealth business, branch managers continued to lead the way, and the best and brightest young advisors continued to shine. Check out the magazine's top stories of the year.

Check out coverage from last year's roundtable

In On Wall Street's fourth annual ranking, the young hotshots of The Street talk clients and strategy. Here's how this year's top 40 advisors under 40 stack up.

Collapsing margins – but serving customers better. Integrating complex platforms – then setting up standard-setting data centers, out of fresh cloth. Here’s how 10 top CIOs became the best on Wall Street.