The Financial Industry Regulatory Authority released on Wednesday new regulations aimed at enhancing investors' understanding of the impact of their broker changing firms and what that would mean to them...

Regulators are increasingly requesting a wider range of communication records from firms when conducting a regulatory exam. And while email is still by far the most commonly requested communication records, that is quickly changing, says Smarsh C...

Rep. French Hill (R-Ark.), a member of the House Financial Services Committee and a former broker, threw his support behind Financial Industry Regulatory Authority as the examiner of registered investment advisors, calling the self-regulator the ...

Needs salt. | Copyright Harry Kerr, Getty Images It can be reassuring when an investment manager has skin in the game—putting their own money into the fund they’re managing. Likewise, it is disconcerting to discover they pulled their money...

The Financial Industry Regulatory Authority released a revised proposal requiring brokers to include a hyperlink to the regulator's BrokerCheck tool on their homepages and any other sites that include their professional profiles...

Today’s securities arbitration system fairly and optimally balances the interests of both parties and thus provides each with important benefits and protections.

The head of the Financial Industry Regulatory Authority criticized the Department of Labor’s fiduciary proposal on Wednesday, saying the industry would be better off moving forward under a  “best interest standard...

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