Regulation

Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.

Venture capital-backed Purpose Rounds helped ethical leather goods firm Parker Clay raise money outside the traditional routes as the pilot firm on the platform.

Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.

The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.

Proponents of the House of Representatives legislation argue that new regulations often fall disproportionately on financial planners that don't have formal compliance and legal departments.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.