The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest. First Horizon Advisors, LLC, was found to have not maintained and enforced ...

FINRA urges brokerage firms to develop procedures catching AI hallucinations and bias in new 2026 regulatory oversight report ...

Osaic firm Securities America settles FINRA charges for $3M after failing to supervise mutual fund recommendations that cost ...

Changes in the U.S. capital markets and at the SEC present new opportunities for growth, innovation and refinement of our ...

The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...

The Financial Industry Regulatory Authority Inc. on Friday said it had suspended for four months and penalized a California broker, Linda J. Wimsatt, $31,000, plus interest, for violating Regulation ...

The panel emphasizes the need for financial firms, particularly asset managers and broker-dealers, to strengthen their compliance and self-reporting practices in light of increased scrutiny from the ...

Federal regulators such as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) watch out for investors. And so does NASAA, the North American ...

Priorities Include Artificial Intelligence and Other Emerging Technologies, Complex Products, Reg BI, Cybersecurity, Outsourcing, Private Funds and Compliance with New and Amended SEC Rules On October ...

NEW YORK, Aug 13 (Reuters) - A serious re-evaluation of how broker-dealers are supervised is overdue and should bring about higher capital requirements given the threat broker-dealers still pose to ...