Concerns include preparing for new SEC reporting rules and modernizing operational infrastructure.

FINRA has warned of phony calls and emails from impersonators.

Why new rules won’t necessarily prevent bad behavior.

Like everything else on Wall Street, this dispute is about the bottom line.

Aiming to build a unified experience for its members nationwide, the move follows fiduciary fallout and dissolution of its New York chapter.

The case involves allegations of improper use of the 83-year-old investment bank’s trademark and name.

The cases are among a series of such obstacles UBS has faced since the start of the financial crisis, including a $1.5 billion fine in 2012 for rigging the Libor benchmark.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

New York legislators are set to reconsider a previously stalled fiduciary bill.

An ideologically driven political climate complicates the evolution of global interoperable mobile-driven commerce.

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The presumptive chair of the House Financial Services Committee will likely take the panel in a sharply new direction and have a new bully pulpit to criticize the Trump administration.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Several Senate, House and gubernatorial battles are of interest to financial firms. Here is a spotlight on specific contests, with updates as they become available.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

The Trump tax overhaul could mean less after-tax money to go around.

Each has its own requirements pertaining to tax withholding, clawback rules and filing deadlines.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

There are good reasons to worry that brokers are unfairly maligned.