Regulatory actions and programs

The commission's approach stands a good chance of superseding the Labor Department's fiduciary rule.

Timothy Scheve will complete the term of John Thiel, the former head of Merrill Lynch, who left FINRA's board earlier this year.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

The firm warned Friday that it may take a charge of as much as $1 billion to settle a U.S. probe of its consumer business.

One couple in their eighties invested more than $700,000 with the alleged schemers, representing almost the entirety of their cashed-out pension, regulators say.

When your client is a foreign national, it pays to find out if the same regulations apply.

Merrill Robertson Jr. had previously been sentenced to 40 years in prison in a separate criminal case.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

Industry insiders see the agency proceeding with its rule to harmonize standards for brokers and advisors.

The FBI has reportedly interviewed employees at the bank’s wealth management unit.

The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.

While some are mainstays, there are a few new ones to add to the list this year.

Focus turns to the SEC as it considers creating its own higher standard of client care.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.