Regulatory guidance

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.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.

The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

The new law will affect how financial advisors and clients evaluate the pros and cons.

Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.