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.

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.

Investors who fled equities during last year's rout have not benefited from subsequent recovery.

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

A pair of veteran brokers and six other defendants face hundreds of felony counts in a long-developing state enforcement case out of Toledo, Ohio.

FINRA and NORC survey results suggest the flood of new investors hasn't slowed since the pandemic, and many of them are coming for digital assets.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The case offered the latest example of a serious prison term for financial exploitation of older adults — a problem experts say is even bigger than the sobering statistics.

The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.