Advisors must be wary of “making permanent decisions based on a temporary law,” an expert says.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

Tightening regulations and digital innovations are among the most important issues facing distribution channels, executives say.

Part of the problem stems from how slow regulators have been to define their views of virtual currencies.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.

Many small firms still don't offer this important benefit to their employees, but it’s time for that to change, says advisor Douglas Boneparth.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

“The industry has not done any favors to young advisors,” says independent advisor Douglas Boneparth.

The rep accepted two loans while employed at Robert W. Baird and later neglected to disclose them to Citigroup Global Markets, FINRA claimed.

It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.

It will host public forums in nearly two dozen cities over the next 16 months.

The case offers a new look at decisions made inside one of the nation’s largest home lenders before the financial crisis, and the evidence that executives saw of mounting trouble.

Confidential emails reveal a top Wells Fargo advisor’s despair after he cried fraud. He could stay at Wells if he was silent, but spoke up anyway — and became a whistleblower.

The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

The regulator accused the four firms and the Advisor Group network of supervisory failures in sales of L-share VAs in separate but near-identical cases.