Regulation

The newly approved rule could shave months off the process of getting active ETFs on the market.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.

The company’s survival may depend on a continuing security awareness training program.

Index funds often benefit from a low-cost halo. They don't all deserve to bask in that glow.

CEO Paul Reilly says the firm has hired new compliance professionals and is also working with outside attorneys in order to prepare for new regulations.

FINRA cracks down after $1.3M theft from 89-year-old client.

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

With clients anxious after all the lobbying, advisers have some preparing to do.