Regulation

Proponents of the House of Representatives legislation argue that new regulations often fall disproportionately on financial planners that don't have formal compliance and legal departments.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.

Cash sweeps are lucrative to brokerages and custodians, but not to clients. Here's what financial advisors should know about how they can get greater yield for clients' liquid assets.

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

A securities expert says the Ponzi-like plot allegedly carried out by a former Deutsche Bank investment banker is a sign that regulators need to provide crypto clarity.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.