Regulation

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The nation's biggest independent B-D announced that it expects to incur greater-than-expected charges of $23 million in its third quarter due to regulatory matters.

FINRA's Enforcement Department alleges that the registered rep issued and distributed unauthorized ATM cards as part of a scheme to steal customer funds.

Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.”

CFP professionals overwhelmingly value the certification: 92% say they are very satisfied with their decision to pursue it, and 97% chose to retain their certification last year.

Ameriprise and one of its advisors were fined by FINRA after an investigation revealed the advisor doctored client documents and the firm kept quiet about the changes.

The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.

The SEC has yet to produce or even propose any binding rules regarding cybersecurity, but officials have been sending strong signals that they expect firms of all sizes to put in place policies and procedures to protect sensitive information.

UBS has agreed to compensate 34 Puerto Rico-based investors for their losses in investments in their municipal bond closed ended funds.

James Katayanagi allegedly created fake ATM cards and used them to swipe more than $14,000 from eight bank customers.