Regulation

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

The agency is continuing its focus on firms that have never been examined, including recently formed ones.

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.

A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.

The action against Atria Wealth Solutions’ Western International Securities offers a substantive hint on the future potential matters under the rule.

An order-by-auction system would be a significant change to the way retail trades are executed.

The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.

Asset management firms say the SEC can't regulate something it hasn't yet defined.

Shoring up fiduciary obligations under ERISA would be a much-needed protection for investors.