FINRA

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

FINRA Foundation's finding that nearly nine out of 10 adults have financial worries presents advisory practices with a basic yet pressing question.

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.