Regulators can still conduct informal investigations but need higher-up permission to issue subpoenas for testimony or documents.

Millions more taxpayers will be receiving the Form 1099-K in the mail this year for the first time if they were paid $5,000 or more last year.

Rodney Halvorson says he agreed to join Morgan Stanley only if he could take two wealthy Mexican clients with him. But his transfers were blocked amid heightened money-laundering scrutiny.

With Gary Gensler's "Wild West" in the rearview mirror, a less combative approach to cryptocurrency looks likely to boost product innovation and investor adoption.

Midsize firm Arete Wealth is invoking President Trump's executive order on government "weaponization" in urging the new administration to withdraw the case.

The industry self-regulator is also concerned about third-party vendors, anti-money-laundering policies and whether certain annuity products are in clients' best interests.

The incoming Treasury chief will have to reconcile his deficit-reduction plans with the Trump administration's much-anticipated tax cuts.

Texas and nine other Republican-led states are ratcheting up pressure on Wall Street's diversity programs, asking firms about their policies on hiring and supplier selections as the Trump administration moves to gut DEI.

The White House has canceled the October 2023 executive order from the previous administration on AI regulation and oversight.

Hester Peirce and SEC Acting Chair Mark Uyeda say they want to group to devise a clear compliance framework for digital assets and end regulation by enforcement.