The MSRB has said it is amending a pending rule change that would greatly shorten the reporting time standard for municipal ...

The current legal battle with a broker-dealer, Alpine Securities, is the latest challenge for the industry regulator.

As a firm providing wealth management services to clients, UBS Financial Services Inc. offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage ...

Choosing which broker-dealer to affiliate with is one of the biggest decisions you'll make as an independent financial advisor. The right broker-dealer will provide the technology, platforms and ...

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in ...

Chief Justice John Roberts denied Alpine's request to stop the FINRA proceeding, while the Supreme Court considers whether to ...

FINRA is the regulatory organization designated by the Securities and Exchange Commission (SEC) to license and regulate broker-dealers. Section 29(b) of the Exchange Act, which provides that every ...

One of the authors of Project 2025—the conservative manifesto viewed by many as the Trump’s administration's guide for aggressive deregulation—is standing by his call for the Financial Industry ...

At some broker-dealers, senior executives, referred to as "above-the-wall," received MNPI without its documentation and with no monitoring or restrictions. Many of these senior executives had ...