The nominee for head of the Securities and Exchange Commission, Paul Atkins, will pursue a more deregulatory and crypto-friendly approach than Gary Gensler.

Paul Atkins has a long history of criticizing industry watchdogs for what he considers regulatory overreach and is expected to take a light hand with the crypto industry.

The long efforts to put in place the enforcement mechanisms to attack syndicated conservation easements appear to at last be finalized.

President-elect Donald Trump is bringing numerous changes to wealth management with his return to the White House, from the Tax Cuts and Jobs Act to Social Security.

Brokers from 15 firms have been suspended, fined and sometimes — but rarely — fired in a sweep that stretches back to 2022.

Former Western Asset Management co-Chief Investment Officer Ken Leech was charged with engaging in an alleged "cherry-picking" trading scheme.

Compliance experts think the costs of going along with a sweeping investigation are ignored by regulators touting the benefits of cooperation.

The Internal Revenue Service is extending the transition period for revising claims for the research and development tax credit through Jan. 10, 2026.

The bulk of the haul came from the bankrupt crypto company Terraform Labs. But Morgan Stanley, LPL Financial, Ameriprise and other big firms also came under scrutiny.

FINRA must let the SEC weigh in before it can cast out one of its members, a three-judge panel of the U.S. Court of Appeals for the District of Columbia found.