State securities regulators are being pulled in different directions on their proposal to help harmed investors obtain award payments when they win arbitration cases. Generally, the financial industry wants to narrow the measure, while investor advocates want to expand it. ...

When a mob stormed the U.S. Capitol on Jan. 6, it was the strongest attack on the seat of U.S. democracy since British troops set fire to the building in 1814. That searing moment continues to smolder in Washington, D.C. ...

Finra Chief Executive Robert W.  Cook said Thursday he wants the broker-dealer regulator to allow brokerages to supervise personnel remotely into next year. During the coronavirus pandemic, the Financial Industry Regulatory Authority Inc. implemented temporary rules that relieved member firms ...