Regulation

Paul Atkins said he doesn't like regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.

The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.

Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.

Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

With billions of dollars in revenue at stake, wirehouses and broker-dealers are keeping an eye on a potential regulatory change in favor of the ETF industry.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.