Regulation

FINRA Foundation's finding that nearly nine out of 10 adults have financial worries presents advisory practices with a basic yet pressing question.

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

Regulators are likley to enter into dialogue with industry about the best way to proceed.