Regulation

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

The Securities and Exchange Commission's overly broad expansion of the Dealer Rule is only the latest example of the agency's yearslong effort to stifle innovation in a vibrant and growing industry.

The elimination of "staking" and associated yields tamp down enthusiasm for the products.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Large companies are bolstering their adjusted earnings per share by excluding items such as litigation expenses and amortization of intangible assets from their net income.

With a deadline looming for the SEC to decide on one of the ether spot ETFs, signs suggest the regulator may be softening.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

The Securities and Exchange Commission, having already approved spot bitcoin ETFs, ought to follow through and grant the same approval to spot ethereum funds. Doing so would create a new surge of investment, with positive economic impacts.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.