Regulation

Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.

The penalties come three months after Merrill Lynch settled similar charges.

The state regulator says its proposal is necessary after the commission failed to craft a uniform fiduciary standard.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

There's a lot to navigate when it comes to assuring clients that the benefits outweigh the headaches.

Listening to a customer service call produced a big surprise. It also showed how firms can take one position to fight complaints in private, but another in public.

The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.

But the new rules may be a boon for some fintech firms.

A Financial Action Task Force note on digital asset oversight is “one of the biggest threats to crypto today,” a research executive said.

The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.