When the government reopens, a new House rule could raise the hurdle for legislation meant to encourage retirement savings.

FINRA granted 70 percent of broker expungement requests over the last decade.

The merger will allow NCS to expand into new customer segments, investment products and geographies.  

The private equity firm will pay a $400,000 fine to the SEC.

Chris Noone is the latest to take legal action after the insurance company cut trail commissions on annuity contracts.

Despite numbers to the contrary, regulators are likely to double down on compliance in the near future.

Summit Equities will pay $100,000 for failing to supervise reps who mishandled clients’ personal information.

Former Ladenburg Thalmann Chairman Phillip Frost has agreed to pay a $5.5 million penalty to settle SEC charges against him.

Last year, a report pointed to a pattern of problems with non-attorney representatives; now FINRA is barring them.

In its first-ever enforcement actions against robos, the SEC charged Hedgeable with false performance reporting, false statements, prohibited Twitter testimonials and undisclosed paid promotions.