Risk

The latest proposed changes tweak criteria that would disqualify firms from having 'residential supervisory locations.'

An AARP study found that the losses amount to tens of billions of dollars each year, with the vast majority going unreported to authorities or the industry.

In a cautionary tale, Jayne Di Vincenzo and Devin Garofalo have been fighting in FINRA arbitration and court for nearly three years after their M&A deal fell apart.

A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

Andrew Brown helped the president of the Law Enforcement Employees Benevolent Association misappropriate $500,000 in retirement savings, investigators said.

The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.