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Paul Atkins said he doesn't like regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.

NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

"It would be irresponsible for us to ignore factors that can fundamentally impact the long-term viability of investments," said CalPERS interim Chief Investment Officer Dan Bienvenue of climate risks.

Louisiana's Transportation Secretary and the former Assistant to the President for Infrastructure discuss the state of play in the U.S. P3 sector, the impact of the new infrastructure law, and what's in store for the next decade.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Democrat-leaning states argue that the $10,000 SALT cap deduction is politically motivated and violates the U.S. Constitution.

The Build Back Better reconciliation bill would raise the SALT cap to $80,000 from $10,000, and that impact varies widely from state to state.

Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.

Muni bonds are giving younger investors the opportunity to put their money to work in ways that they value.

In some states mortgage closing costs can reach or exceed five figures.

The House GOP bill would limit the deductibility of property taxes to $10,000 annually.

The plan would be paid for partly with the elimination of deductions and loopholes for the wealthy, raising fears over tax-exemption.