Finra is poised to beef up rules surrounding sales of complex products and to enhance safeguards related to purchasing cryptocurrencies and digital assets from brokerages. Those items are among the organization’s 2022 priorities, Robert W. Cook, CEO of the Financial ...

A major Wall Street trade organization is discouraging the Securities and Exchange Commission from creating new regulations targeting the online practices of financial advisers. The agency can turn to the broker standard of conduct, Regulation Best Interest, if it determines ...

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 ...