Regulation

The only question on any FA’s mind should be “When is this coming, and should I make a change now before the big deals dry up?” Because it’s not a question of whether or not the big recruitment deals are going to lose steam, it’s just a matter of how quickly they will begin drying up.

JPMorgan laid out a careful plan for a better 2014 on Tuesday, as it tries to recover from a year spent paying for past mistakes. The bank is hoping that more expense cuts, improved technology and a greater reliance on wealth management will boost its future growth.

The location of the National Credit Union Administration suits its place in the hierarchy of U.S. financial regulators.

Royal Securities to pay $175,000 in FINRA fines over non-traditional ETF sales, church bonds and other violations.

Bankers, industry representatives and other experts largely praise the FDIC's plan to unwind troubled behemoths, but suggest a host of issues that the agency needs to address before it can ensure the end of "too big to fail."

The bank agreed to pay $197 million and admitted that it improperly solicited thousands of American clients, ending a U.S. regulatory probe while a broader criminal investigation of tax evasion still looms.

The agency plans a deeper focus on the role and duties of financial advisors this year, says chairwoman Mary Jo White.

Moving ahead on priorities announced in January, the SEC says it will conduct examinations of a "significant percentage" of advisors that have not been examined since registering with the SEC.

John Lindsey, who left Edward Jones in 2012 and won a FINRA arbitration case against his former firm last summer, has launched The Bold Advisor to provide support, guidance and information to breakaway advisors.

Joseph Contorinis, an ex-Jefferies Paragon Fund money manager convicted of insider trading in 2010, can be ordered to pay $7.2 million for profits he made for the fund from the scheme, a federal appeals court ruled.