Congressman Troy Downing and other Republican representatives introduced legislation to expanding 401(k) investors’ access to alternative assets.

A firm settled FINRA charges for conducting a securities business while below its minimum required net capital.

SEC Chair Paul S. Atkins proposed reforms to strengthen due process and transparency in the Commission's enforcement program.

FINRA suspended a broker for failing to disclose his involvement in an outside business that provided investment recommendations.

FINRA suspended an administrative assistant for forging customer electronic signatures on firm records.