Regulatory actions and programs

“Wells Fargo does not appear close to putting its Washington troubles behind it,” Cowen analyst Jaret Seiberg wrote in a note.

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.

The hiring marks Charlie Scharf’s first major leadership appointment since he took over the embattled bank last month.

Bruce K. Lee left the brokerage world where cheating on continuing education requirements can be a "career killer."

As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.

The court is taking up a challenge to one of the agency’s most potent legal weapons.

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

Her hospitalized client's accounts had more than $14 million in transactions over a nine day period, according to FINRA.

The demands come following a Financial Planning investigation revealing how JPMorgan’s Chase Private Client group used false evidence to get rid of an advisor.

Trading venues have clubbed together to attack the latest European effort to curb what they charge clients for data.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

The insurgents won seats allotted to represent small and large firms.

Brokerage shops get to weigh in later this month on challengers promising reforms at the industry regulator.

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

The bank will pay $1.25 million for alleged supervisory failures.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.