The bipartisan infrastructure bill includes requirements for brokers to report their customers’ cryptocurrency gains to the Internal Revenue Service, but exactly what constitutes a broker is stirring controversy.

MML Investors Services allegedly breached its fiduciary duty in the same way that the regulator has alleged that more than 100 other firms have in recent years.

The Salt Lake City broker-dealer, under scrutiny by regulators over its exorbitant fees and seizure of client money, lost a court battle seeking to force regulator FINRA to deal with it in person.

The regulator filed a Wells notice, riling the CEO of the country's largest cryptocurrency exchange.

The securities lawyer and former NASD regional attorney explains why cases can be so hard to detect and what the industry can do to help.

A nearly century-old system designed to protect consumers is about to be left behind.

It's the second time in a year that the SEC has scrutinized green and socially conscious labels.

Brokerages that want to hire someone with a checkered past have to undergo a “consultation” with the watchdog and may have to try to renew their memberships.

Federal regulators haven’t yet made substantial moves against the crypto savings accounts but have set their sights on the stablecoin market.

What looked like a shot over Robinhood's bow might be aimed more at market makers, writes Aaron Brown.

Some funds touting their environmental and socially responsible investments may be exaggerating.

The firms failed to update their cybersecurity policies immediately after client data was exposed.

Feedback could inform a rule impacting how fintech startups and traditional wealth management firms use technology to engage retail investors.

Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.

The controversial practice generated 80% of the brokerage app's Q2 revenue.

The ruling could open other similarly closed cases worth hundreds of millions of dollars.

‘Millions unaccounted for’ in an alleged 10-year fraud as court freezes assets of dually registered planner and his fund.

The longtime director of investor protection at the Consumer Federation of America could signal an overhaul of Reg BI under the Biden administration.

Experts and leading practitioners are looking at ways to mitigate the possible affect of the legislation from a tax perspective.

The New York-based advisor is accused of defrauding at least 56 investors.