Enforcement

Regulators have opened investigations into wealth managers who sold private credit to retail investors, RCW has learned

The Trump administration’s front-loaded crackdown on healthcare fraud challenges private fund managers’ compliance infrastructure

The firm's WSPs provided that when a minor beneficiary of an UTMA account reaches the age of majority or alternative age of termination, the custodian ...

Taking steps to retain an outside consultant after four audits flagged system issues that hampered effective surveilling for potentially violative insider trading is a productive, ...

These four factors can persuade Enforcement to give you credit, which could help swing an inquiry in your favor

Three main goals are driving more transparency, improving efficiency, and giving firms more opportunities to be heard

Chair Atkins slashed the agency's enforcement budget in half last year, and has promised to do so again this year

'This recent FINRA action underscores the importance of ensuring that aggregated performance data is presented in a way that accurately the product being marketing'

FINRA is soliciting comments by May 1 on modernizing its arbitration rules, guidance and processes

FINRA disciplinary actions decreased 22% in 2025 and restitution was down 35%