JPMorgan wants a judge to overturn the FINRA arbitration award it was hit with after firing one of its brokers over expenses stemming from a Super Bowl-timed client meeting.

The Treasury Department offered a preview of upcoming guidance on a new federal scholarship tax credit that was included in the One Big Beautiful Bill Act.

Nearly two years into a pilot program designed to test remote inspections of brokers' residential and other remote offices, FINRA feels comfortable enough with the results to push for a permanent policy.

As brokerage firms keep getting sued for allegedly not providing clients fair returns on their uninvested cash, the SEC tells investment advisors they also have legal liabilities.

Members of the Transparent Advisor Movement are meeting around the country in "Flat Fridays" events. And the collaboration is revealing all of the nuance around fees.

In a recent industry snapshot, the Investment Adviser Association found the average number of data points advisors have to report in annual regulatory filings has nearly doubled to more than 1,000 since 2011.

A technicality in the federal law enacted in July 2025 changed how deductions work for estates and trusts, creating uncertainty over how taxes are allocated after a person's death.

The U.S. Department of Labor collected public comments on its proposal to give fiduciaries discretion to include alternative investments in 401(k) plans.

A presentation by Succession Resource Group shares the key pitfalls to avoid for RIAs seeking to create succession plans and recruit financial advisors.

A report from the Financial Stability Board said limited transparency in the private credit market makes it difficult for regulators to monitor and understand risks, potentially masking challenges to the financial system.

Financial planners who joined the Transparent Advisor Movement's first "Flat Fridays" meetup touched on the difficulty of explaining the industry to consumers.

The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations.

Oppenheimer said it had calculated its potential liability in its cash sweeps lawsuit at more than $440 million. Rather than face a jury, it's settling the class action lawsuit.

A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.

The number of SEC enforcement actions have dropped during the second Trump administration. But the new head of the division said he supports "quality over quantity."

Defendants who've reached settlements with industry regulators complain their First Amendment rights are breached by orders forbidding them to talk about their cases.

NASAA's proposal would align state laws with the SEC's marketing rule, eliminating concerns advisors have about running afoul of more local laws as they accept testimonials and reviews.

A lawyer representing a former UBS investor said he proved to FINRA arbitrators that his client would have been much better off simply putting her money into the stock market.

Thirty advisors recruited by LPL Financial from Ameriprise had objected to a court order that they turn over their cell phones, computers and other devices to be searched by a third-party forensic examiner.

A GAO report suggests that blanket rules on spousal consent for 401(k) withdrawals could solve "financial infidelity problems — and exacerbate them.