Regulatory reform

The terminations come amid a renewed push by firms to haul employees back into the office.

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting their branch office remotely; plus, the rundown on residential supervisory locations

Difficulties loom over syncing U.S. stock exchanges with global transaction cycles.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The banking giant has already settled two other similar disputes with regulators.

Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.

The prohibition would be on most contract provisions meant to keep emplolyees from taking jobs with competitors.

The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.

Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.

The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.

Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.

The proposal comes as regulators say they've seen a fourfold increase in suspicious activity tied to RIAs.

With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.

The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.