Tag: FINRA

Leadership at both the DOL and SEC have signaled a willingness to work together to find complementary approaches to managing advisers’ conflicts of interest—but it will be a...

The new compliance support programming is free for advisers and seeks to “shed light on opacity surrounding financial regulations."

A lawsuit filed by UBS against a number of former brokers—accused of too aggressively soliciting old clients immediately after going independent—shows plan participants aren’t the only source of...

Two years of litigation and negotiation later, the parties have reached a proposed agreement to settle the class action, valued at $25 million.

Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed. 

The Securities and Exchange Commission has approved FINRA's rule proposal addressing financial exploitation of seniors. 

State investment market regulators in Massachusetts have expressed serious concern around the continued employment of broker/dealer agents with histories of misconduct. 

As Baby Boomers push closer to retirement, they are facing a drastically different investing world than the one they grew up in—gaining access to radically different approaches to...

FINRA has published an investor alert about required minimum distributions in traditional IRAs.

Firms that offer digital investment advice need sound governance and supervision, says the organization.

FINRA highlights the success of its recent compliance efforts in a new report, while signaling the beginning of a process to modernize and update its membership application process. 

Researchers created a 15-year database of advisers from FINRA’s BrokerCheck.

Broker/dealers urged in FINRA letter to define and strengthen their firms’ ethical business practices.

Fidelity has been fined $500,000 for failing to follow up on red flags that could have detected or prevented the theft of funds from senior investors.

Following on $30 million in enforcement actions announced in July, FINRA says it’s going after five more advisory firms accused of overcharging charities and retirement accounts.