Regulatory actions and programs

The Office of Management and Budget concluded its review of the proposal, a key step in the administrative process, which puts a freeze on further implementing the regulation.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

Regulations can take a long time to reverse.

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

Let's have a robust discussion about how to improve outcomes for clients, but let's stop inventing bogus reasons why we shouldn't look after their best interests.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Shelley Steuer Freeman, the bank's former Los Angeles regional president and head of Consumer Credit Solutions, was barred for refusing to provide FINRA with documents it requested.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.

The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

The rep claimed the firm misled him when they recruited him from PNC Bank.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

A new bill would go further than past attempts to block the Labor Department altogether.

Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.