Regulation

The terminations come amid a renewed push by firms to haul employees back into the office.

A recent poll by the FINRA Investor Education Foundation found that consumers trusted a financial statement made by AI nearly as much as the same statement made by an advisor — in some situations.

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

The U.S. Securities and Exchange Commission is looking at how social media influencers and AI technology may pose conflicts of interest, steer investors' financial decisions.

The White House has vetoed a bill that would have repealed a measure requiring custodians of crypto assets to count them as liabilities on their balance sheets.

The U.S. Fifth Circuit Court of Appeals in New Orleans sided with the private funds industry, which argued that the agency overstepped its authority.

The more frequently companies report their earnings, the less likely investors are to make knee-jerk investment decisions, according to recent research.

Safety vetting generative AI in your techstack while anticipating regulatory changes can boost advisor productivity while giving firms a competitive edge.

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

The Securities and Exchange Commission's overly broad expansion of the Dealer Rule is only the latest example of the agency's yearslong effort to stifle innovation in a vibrant and growing industry.