The Financial Industry Regulatory Authority this week censured and fined two firms for municipal market violations, including failing to properly supervise political contributions from muni finance ...

Merrill Lynch, Pierce, Fenner & Smith Incorporated, agreed to pay a fine of $1.5 million--$1 million for Municipal Securities Rulemaking Board violations--to settle Financial Industry Regulatory ...

A Houston, Texas-based midsize independent broker-dealer will pay $750,000 to settle a FINRA case for alleged systemic supervisory failures relating to excessive trading and variable annuities, ...

The adoption of the rules indicates that FINRA is taking concrete steps to modernize its regulatory framework toward the more flexible environment that proved effective during the pandemic period of ...

RBC Capital Markets has agreed to pay $360,000 to settle charges that it failed to monitor thousands of employees' outside brokerage accounts for compliance with the firm's trading restrictions, ...

The Financial Industry Regulatory Authority Inc. has censured and fined a New Jersey-based broker-dealer and its chief compliance officer for allegedly violating the compliance and care obligations of ...

A Wells Fargo subsidiary has been fined $425,000 by the Financial Industry Regulatory Authority (Finra) for reporting only average trade prices on millions of client transactions, without disclosing ...