The Financial Industry Regulatory Authority has fined Fidelity Investments $600,000 for failing to supervise over an eight-year period an associated person's access to stock plan services accounts ...

Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...

Prepare for success with the Securities Institute of America. Comprehensive training, study materials, and tools to help you ...

One of the easiest and most common ways to buy and sell stocks, mutual funds, and bonds is through a brokerage house.

The Wall Street watchdog is facing criticism from lawmakers, along with two lawsuits, that could theoretically redefine the ...

A former Hartsdale securities broker has been banned from the industry for six months, fined $10,000 and ordered to return ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...

Discover what a Series 6 license is, the requirements to obtain it, and why it's essential for professionals in the financial services industry.

Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.