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 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.
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.
The SEC approved a proposal from FINRA to amend FINRA Rule 2210, such that a hyperlink to FINRA BrokerCheck must be prominently displayed on all brokers’ websites.
The agency hasn’t exactly dominated trade publication headlines in recent months, but it remains active on enforcement and rulemaking efforts that will impact retirement advisers.
Transcripts from a tough SEC hearing called earlier this month show it's not just the Department of Labor considering changes to the application of the fiduciary standard.