Regulatory actions and programs

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.