Compliance

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

The commission is visiting far more advisors than just two years ago.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

Planners must make accurate disclosures about their service models, says the regulator.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.