Of the total $2.4 million in fines doled out in December to brokerage firms, several large levies arose from alleged inadequate supervision of brokers who caused investor harm.
Some consumer protections inspired by the Great Recession have been weakened or delayed altogether. But you can take steps to look out for your own best interest.
There are many ways to pay for financial advice and conflicts can arise. Keep these questions in mind.
If you don't know exactly how you are paying for financial advice, you could be in for some unpleasant surprises. Here's how to tell if your advisor is really looking out for your best interests.
If you name someone who your advisor can alert if they suspect something is amiss with your account, make sure the person can be trusted to act in your best interest.
Today your broker-dealer must tell you how much it's earning off your bond trades. Here's why.
Investing in low-cost ETFs is getting cheaper as the ETF price wars heat up.
Richard Ketchum, Chairman and CEO of Financial Industry Regulation Authority (FINRA), speaks with CNBC's Bob Pisani about the regulatory environment in markets.
If calamity breaks out in the corporate bond market, it's largely mom and pop investors who may end up calling the shots.
If interest rates rise too quickly, spooked mutual fund investors could set off a liquidity trap in the corporate bond market.
Genesis Trading, which claims to be the first broker-dealer specializing in digital currencies, launched Thursday.
The SEC voted Wednesday to issue a proposal requiring proprietary high speed trading firms to register with regulators.
Financial education programs abound for current and former military service members. How well they work is another story.
FINRA charged Wedbush Securities with having shoddy risk controls, a flaw that allowed traders to flood U.S. markets and execute manipulative trades.
High-frequency trading firms should be required to register with U.S. securities regulators, the head of Wall Street's self-funded regulator said.
Is your financial advisor being honest? Sharon Epperson and Suze Orman point out the red flags to look out for and what to do if you think you're being scammed.
All generations of pre-retirees are facing some level of savings shortfall, but there are steps anyone can take to help build their 401(k).
A study showed that the Financial Industry Regulatory Authority "routinely deletes" problematic information on brokers, The Wall Street Journal said.
Wall Street's Financial Industry Regulatory Authority is examining efforts to protect businesses and customers from cybersecurity threats.
Supreme Court is taking up 3 cases over President Trump's financial records. CNBC's Eamon Javers reports.
The Department of Justice is preparing to take action against Live Nation, alleging the company violated its 2010 settlement and made concert venues use its dominant TicketMaster subsidiary.
The markets seem to be brushing off the impeachment proceedings in the House of Representatives. James Pethokoukis, AEI's economic policy analyst, and Sarah Bianchi, head of U.S. public policy and political strategy at Evercore ISI, join "Squawk Box" to discuss the potential cost of impeachment.
