Regulatory actions and programs

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.

Think New Jersey’s proposed rule doesn’t apply to you? Think again.

The penalties come three months after Merrill Lynch settled similar charges.

Bonds were sold to build a development with a water park and Venice-style bridges. Now a Florida community is going bankrupt.

FINRA Rule 3210 typically requires permission for brokerage accounts.

Swiss banks face pressure across Europe, with prosecutors in France, Germany and Italy accusing them of helping clients hide money from tax authorities.

The bank allegedly helped French clients evade taxes.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

One tipster will get $37 million, the third-biggest ever for the agency's whistleblower program.

The regulator also faulted Merrill’s supervisory policies and procedures.

The Massachusetts Democrat has repeatedly called for Tim Sloan’s ouster due to the bank's scandals that first came to light in 2016.

Like the industry it oversees, the regulator has rising technology and compensation costs.

Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

The transparency of a fee charged to other fund firms for use of the platform is allegedly questioned.