FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors. "Steve’s deep ...

The competing legal strategies appear contrary to Stifel’s public statements about defending its structured notes’ tactics.

The fine for violating MSRB rules was imposed as part of a wider FINRA disciplinary action that saw brokerage firm Calton & ...

For decades, the bulk of the retail brokerage industry has moved away from selling expensive, proprietary funds.

The Staff’s most recent actions continue to set the stage for notice-and-comment rulemaking long-awaited by the digital asset industry.

On April 24, the Federal Reserve withdrew its prior guidance for banks related to their crypto-asset and dollar token activities and also ...

Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over ...

When the brokerage industry self-regulator issues its 2024 financial report later this year, it will detail plans for ...

Regulatory attorneys and enforcement officials forecasted a changing but focused regulatory landscape ahead at the 2025 RegEd Engage Annual Conference today.

A FINRA panel urged firms to adopt real-time interventions and utilize FINRA Rule 2165 to prevent and investigate suspicious ...

The average investor has no idea what the various financial advisory designations mean, let alone the requirements for ...

The dual-role expert offers the panel a direct connection between conduct and consequences—illustrating not just whether the ...