Financial regulations

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.