Regulation

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

The inquiry into Wells Fargo comes at a time when clients can often secure much better rates of return through money markets and certificates of deposit.

FINRA Foundation's finding that nearly nine out of 10 adults have financial worries presents advisory practices with a basic yet pressing question.

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.