Regulatory guidance

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Can FINRA suspend the advisor’s license?

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

More trouble for the embattled company.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.