Massachusetts looking into private placement sales.
Suit says Schwab's adviser services division failed to file suspicious activity reports in 2012-13.
Regulator says firm ignored churning by three reps who have been charged with fraud
Departing commissioner doesn't foresee final vote on proposal until 2019.
Regulator says most of the money was spent on improving regulatory functions and compliance by member firms.
The rule would create a second, non-fiduciary version of the term 'best interest.'
SEC says firm did not have policies and procedures in place to prevent misuse of funds
Promotional flyer depicts the 'intimate relationship' advisers have with clients
SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
Rule is expected to give exchange-traded funds a boost, but complex products wouldn't be eligible for the streamlined process
He prevails over a candidate backed by Finra's board to fill one of three large-firm positions.
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
Executive has served as the chair of the SEC, Finra and the CFTC
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
