Regulation

A broker argues the Supreme Court's recent decision in the Jarkesy case means he should get to defend himself against fraud allegations before a jury.

The decisions indicated that justices will use far stricter scrutiny of government regulations moving forward, and some cases dealt a direct impact right away.

FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.

The broker-dealer self-regulator argues that the enforcement decline is a result of its success in driving bad actors from the industry.

The high court ruling deals a serious blow to a system that critics contended had allowed regulators to act as proverbial judge, jury and executioner.

Climate-related disclosures will bring complexities requiring short- and long-term action by financial institutions, and the first reporting could begin in fiscal 2025.

There are times when vendor contracts must come to an end, particularly as new technology providers enter the market. CEOs offer tips for ending a vendor relationship and what to put in contracts to protect data in a breakup.

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.