Compliance reviews

The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.

We've had many chances to learn, from the dot-com bust to the 2008 financial crisis. But the storm is perhaps most applicable to our current situation.

That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…

The agency will send several dozens agents to make at least 800 face-to-face visits in February and March of this year.

The commission-free brokerage did not reasonably review “hundreds of thousands of orders each month,” according to the regulator.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

After an investigation into the self-disclosure of regulatory incidents, the board is looking to strengthen the review process and clear up public confusion.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

Audit volume is up but compliance issues are down — with cybersecurity as the wild card.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Other states are likely to enter similar agreements with the broker-dealer.

The New York president questions legality of national chapter's use of local chapter funds for annual forum.

"I still feel like NAPFA is one of the best kept secrets in the planning world and we want to change that," NAPFA CEO Geoffrey Brown says.

"Vitriol" and "vileness" lead FPA national to take unprecedented "nuclear option" against New York chapter

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.