Financial regulations

While efforts to recover cash through litigation have repaid nearly 70% of valid claims, hundreds say they have been victimized a second time by that system.

The former CFTC chair is expected to face intense pressure from progressive Democrats in his new role, many of whom want him to promptly toughen oversight.

Evan Schottenstein, without admitting or denying the findings, agreed to the sanction after FINRA concluded he wasn’t complying with its investigation.

It’s yet another revenue stream that may face pressure after the custodian spawned a race to zero commissions more than a year ago.

Rule 11870 permits member firms to use them rather than obtaining an affirmative authorization from the client — in certain situations.

In most cases, assume that your "outside business" is not affiliated with your current employer.

As more people pile into the markets, it's crucial to foster financial literacy, write Christine Lazaro and Teresa Verges.

The funds are one of the largest forms of short-term debt vulnerable to investor runs in our financial system, writes former CFTC Chairman Timothy Massad.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

Analysts were permitted to adjust key stresses in the model used in determining commercial mortgage-backed securities ratings, according to the regulator.

The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.

Approval for similar access at competitors such as Schwab and Morgan Stanley’s E-Trade can take days.

The recent tumult involving GameStop and Robinhood has raised questions about whether broader risks for the financial system are brewing.

Does a poor stock pick, for instance, constitute a sales practice violation?

The looming threat for Biden’s SEC pick is that the good times could end on his watch, triggering a crash that hits retail investors who’ve contributed to the boom.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

As Wall Street jumps on the Bitcoin rally like never before, the firm says existential risks could threaten the industry over the long haul.

The pending nominations send a clear signal that the rule-cutting and lax enforcement the industry has grown accustomed to under President Trump are over.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.

If confirmed by the Senate, the former CFTC chairman would be the new administration’s front-line regulator for Wall Street.