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.