Regulatory actions and programs

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.

A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.

Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

The senator’s presidential ambitions are becoming another headache for the Wells Fargo CEO.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The SEC is running on a skeleton crew that effectively halts routine oversight.

The regulator accuses her of misconduct; she says the agency is doing Morgan Stanley’s bidding.

Tim Sloan is finishing a year in which the Federal Reserve told the bank to stop growing, scandals emerged in more divisions, and the stock tumbled 25%.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.