Regulation

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The SEC's guidance is a part of a much broader movement as the U.S. strives to catch up with Europe.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.

The ban comes after the Wall Street regulator's imposition of nearly $3 billion on fines for failing to track and record communications sent on messaging apps.

The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.

An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.

The Securities and Exchange Commission has temporarily stayed its climate-related disclosure rule amid a rash of lawsuits.

Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.