FINRA argues that brokerage representatives should have the ability to keep information about private residences out of public databases.

Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.

Choosing the right strategy can lead to more clients and achievement of a firm's goals.

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

Joseph DeGregorio promised a 13% return on promissory notes that never existed.

Securities and Exchange Commission's probe is looking the popular brokerage's compliance with recordkeeping rule.

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

The financial services firm continues to go before FINRA arbitration panels to defend itself against claims over ex-broker's actions.

The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

First Republic Bank was shuttered by regulators early Monday, and all its deposits and most of its assets were acquired by JPMorgan. San Francisco-based First Republic was undone by low-rate mortgages it made to its wealthy customers as well as by the fallout from last month's banking crisis.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

A pair of veteran brokers and six other defendants face hundreds of felony counts in a long-developing state enforcement case out of Toledo, Ohio.

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.