Regulation

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

The bank allegedly helped French clients evade taxes.

Without advisor buy-in, scale can't be achieved, the tech executive says.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.