Compliance

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.

The board approved a rule proposal that would impose new limits on financial advisors' ability to remove information about customer disputes from BrokerCheck.

Puerto Rican investors are lining up for arbitration with UBS AG over losses when the commonwealth's bonds plunged last year.

The U.S. Supreme Court decision to hear arguments over Fifth Third Bancorp v. Duddenhoeffer – a case that questions whether it's prudent for companies to offer employee stock ownership within 401(k) investment schemes – will be front and center for retirement plan sponsors this spring.

As the role and responsibilities of compliance officers have grown, so has the need to ensure that those employees can effectively communicate with the rest of the bank.

At Janet Yellen's first appearance on Capitol Hill as the head of the Federal Reserve Board, the country's top central banker did little to depart from her predecessor's views on key issues, often cautiously echoing his message from the past eight years.

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

A former head of commercial real estate at Wilmington Trust was charged with bank fraud, bribery and money laundering, the Office of the Special Inspector General for the Troubled Asset Relief Program announced Friday.

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

Regulators will soon finalize their plan to establish a new leverage ratio and it is likely to be tougher than a recently implemented global standard, top officials said Thursday.

Lawmakers repeatedly returned to the question of whether the five agencies involved in writing the Volcker Rule can enforce it consistently across the various entities they oversee, during a House Financial Services Committee hearing featuring top regulatory officials.

Many wirehouse advisors had to change their compensation disclosure following an abrupt change last fall by the CFP Board.

The board's plans focus on aggressive growth, increased awareness of mark and regulatory impact.

CFP Board ads illustrate difficulties in hiring a legitimate planner; fails to address concerns about its own website.