Regulatory actions and programs

The financier may be offered an ambassadorship or another job instead of appointing him to a top role advising President Donald Trump.

The regulation pulled back the curtain on one type of conflict, but there are many others. It's only a matter of time before they come to light, too.

Seven former private bankers said they functioned less as advisers than as salespeople.

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.

The settlement comes two weeks after Citigroup resolved similar charges with the New York Attorney General's office.

FINRA barred the former J.P. Morgan rep for allegedly using customer debit cards to steal $1,002.

The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

There's a better way to craft a standard that would protect investors and preserve client choice.

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.