A recent post on SIFMA's "Pennsylvania + Wall" blog is highly critical of a recently published academic report. SIFMA argues that the report makes "overly broad and inflated claims" concerning levels of misconduct among financial advisors.

FINRA issued a report identifying effective practices that firms should consider when developing and using "digital investment advice tools."

The Cabinet Regulatory Tracker provides a list of significant effective dates, compliance dates, and comment and filing deadlines.

In a recent investor education podcast, FINRA provided five steps to help investors stay focused when the stock market proves rocky.

The NFA ordered a company to withdraw permanently from NFA membership, and to refrain from acting as the principal of an NFA member, due to allegations of NFA supervisory, capital and recordkeeping violations.