Expanding access to advice, standardizing KYC data collection on SRO's agenda
Clients lost more than $1.5 million on rep's failed fintech venture
Terms of firm's sale weren't fully disclosed to regulators
The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit
Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings
Proposals aim to improve quality, transparency of credit ratings
Regulator failed to meet burden of proof on all counts
Editorial: Last-minute policy reversals undermine an already fragile trust between tax authorities and the public
FINRA starts providing data on individual transactions
Regulator aims to bolster investor protection, modernize rules