Regulation

The SEC's decision marks a startling reversal from the full-court press it had mounted against Commonwealth Financial Network in 2019 over alleged failures to disclose conflicts of interest in its brokers' mutual fund recommendations.

Brokers were worried a new rule intended to lighten their responsibility to monitor advisors' side hustles would ironically mean greater supervision duties with RIAs.

Regulators officially approved 30 more funds last month, with more expected authorizations in 2026. Will financial advisors and their clients bite?

The justices are scheduled to resolve disagreement among lower courts over whether market regulators can order fraudsters to repay ill-gotten gains to victims.

A new proposal would allow firms to tack three additional months onto the amount of time they can place holds on the accounts of clients 65 and older in cases of suspected financial exploitation.

The regulator considers raising the AUM threshold it uses when considering how newly proposed rules are likely to affect small RIAs.

Fewer U.S. adults have non-retirement investment accounts than three years earlier, and many retail investors struggle with understanding fees and fraud risk.

Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.

A FINRA arbitration panel finds a "pattern" in JPMorgan's attempts to blacken the regulatory records of advisors moving to rival firms.