Compliance

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.

The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

The board is calling for public comment on a variety of changes and released FAQs for planners about new standards of conduct taking effect next year.

Be careful when giving gifts over $100 in value.

FINRA has warned of phony calls and emails from impersonators.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.

An ideologically driven political climate complicates the evolution of global interoperable mobile-driven commerce.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

There are good reasons to worry that brokers are unfairly maligned.

FINRA says the firm did not disclose necessary client issues or hacking attempts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

You must not overlook important cybersecurity protocols for protecting your email.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

A petition to vacate the award was denied by a federal judge.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

Can FINRA suspend the advisor’s license?

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.