Financial regulations

Charles Augustus Banks called San Antonio Spurs player Tim Duncan's claims against him "naïve and immature" last year. Now the former RIA is under indictment by a federal grand jury and faces SEC charges.

Technology that improves compliance, lending and payments by automating processes and relying on AI was spotlighted at Next Money and Finovate, two fintech conferences held in New York this week.

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.

The penalty is the largest ever imposed by the Consumer Financial Protection Bureau.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

Eligible taxpayers can now qualify for a waiver of the 60-day time limit and avoid possible taxes and penalties on early distributions, if they meet certain requirements.

The fundamental nature of the social network is interaction and conversation — not the simple spouting of PR.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

Uncertainty still surrounding the fiduciary rule is one reason why advisors say they are not committing to specific upgrades just yet.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

Consultants are turning to technology as the SEC ramps up RIA exams.