Data reveals that Finra up its fines in 2012 by 15 percent. Disciplinary actions were up as well. Dan Jamieson breaks down the numbers
Tracking investment strategies remains a focus.
A panel discussion at TD Ameritrade Inc.'s fall regional conference on Tuesday drew heated discussions.
Finra has warned about a possible route in the bond market. This speaks volumes about the dangers debt-holders are actually facing.
Firm's RIA chief pegs 21% increase to investor interest in independent advice.
Finra is once again looking to change some of its membership rules. The first go at making some revisions -- floated back in 2010 -- was not exactly cheered by reps.
New office in Melbourne, Fla. is the firm's 28th location
Massachusetts Secretary of the Commonwealth William Galvin urges SEC to consider banning the use of such agreements by registered investment advisers
Regulator told investors in an alert that outstanding bonds could see price drops with rising interest rates
