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

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

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

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

SEC comissioner Hester Peirce and FINRA CEO Robert Cook stressed the importance of partnership between the two organizations ...

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

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

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are ...

Kenneth John Malm of Suffern, N.Y., agreed to a seven-month suspension and a $10,000 fine, without admitting to or denying the findings by Finra, according to his letter of acceptance, waiver and ...

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

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