Regulatory guidance

The firm failed to accurately describe the costs and benefits of exchanging variable annuities and recommended exchanges without knowing if they were suitable, FINRA said.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

Wall Street whistleblowers just got another reason to take their gripes directly to the SEC.

How often should CCOs pay a visit to branch offices?

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

When your client is a foreign national, it pays to find out if the same regulations apply.

In addition to winning a $25,000 award, ex-J.P. Morgan rep Mihail Naumovski was able to expunge erroneous information on his Form U5 that he violated investment-related regulations.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

Even after a federal appeals court struck down the rule, more clashes over the regulation of sales versus advice are inevitable.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.