Regulatory actions and programs

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.

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.