Regulation

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.

Traders betting that regulators will approve a U.S. spot bitcoin exchange-traded fund sooner rather than later have all but evaporated a once-gargantuan discount on the world's biggest crypto fund.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

Touted as crypto's big breakthrough on Wall Street, the imminent arrival of Bitcoin ETFs may open digital-currency investing to the institutional and retail masses.

Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.

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.