FINRA

FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.

The broker-dealer self-regulator argues that the enforcement decline is a result of its success in driving bad actors from the industry.

The terminations come amid a renewed push by firms to haul employees back into the office.

A recent poll by the FINRA Investor Education Foundation found that consumers trusted a financial statement made by AI nearly as much as the same statement made by an advisor — in some situations.

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.