Finra, the financial industry’s self-regulator, is likely to avoid bringing expedited expulsion proceedings against members without SEC input after the D.C. Circuit said that doing so would probably exceed its authority.

While FINRA decides whether to appeal a circuit court panel’s ruling that it cannot speedily expel reps without SEC oversight, the regulator believes it can “implement measures” to meet the judges’ demands, according to a FINRA spokesperson.

This presidential election is putting bonds front and centre and that's not necessarily a good thing.

In what some attorneys are calling the largest "whitewashing" of a broker’s public record they've ever seen, a rep who headed UBS’s defunct Yield Enhancement Strategy (YES) was able to get Finra to expunge 29 arbitration cases against him that led to more than $30 million in client awards.

A case involving the vape industry gives the U.S. Supreme Court a chance to further erode the authority of federal regulatory agencies following other major rulings as the justices gird for a new term featuring important business-related questions. The nine-month term, which begins on Oct. 7, also brings cases involving tech giants Nvidia and Meta's Facebook that could make it harder for private plaintiffs to win securities fraud lawsuits against companies in federal courts.

A case involving the vape industry gives the U.S. Supreme Court a chance to further erode the authority of federal regulatory agencies following other major rulings as the justices gird for a new term featuring important business-related questions.

A case involving the vape industry gives the U.S. Supreme Court a chance to further erode the authority of federal regulatory agencies following other major rulings as the justices gird for a new term featuring important business-related questions.

A broker facing FINRA disciplinary charges is citing last month’s Supreme Court decision that weakened the SEC’s enforcement powers to challenge the validity of the brokerage regulator’s enforcement arm.