Regulation

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.

Optimism is building that a game-changing fund design that will help asset managers shrink clients' tax bills will soon be approved by the SEC.

Evan Becht told a FINRA arbitrator that he has not been able to find another job since JPMorgan's reasons for terminating him became listed on his BrokerCheck page.

Michael Bonevento and his team left Ameriprise in 2019 to join LPL Financial. He says too much time has elapsed for him to now be accused of misappropriating client information.