The SEC Chair oversaw a sweeping rulemaking agenda that drew resistance from many advisory and brokerage industry representatives.

A government watchdog reports that Labor Department regulations haven't made much of an impact on the levels of disclosure and comprehension.

Whoever is named SEC chair by the president-elect is likely to take a lighter hand on crypto, AI and "regulation by enforcement."

Business goals cannot always put clients' best interests first. Here's why even the executives leading fast-expanding advisory firms say the critics have a point.

The numbers are getting murkier, and the politics with a slim majority in the House and the minutiae of Senate reconciliation rules look anything but easy.

The incoming GOP majorities in the House and Senate mean Trump can enact a tax bill without making concessions to Democrats.

Former financial advisors accused the firm of filing false disclosures about a template invoice their onetime employer claimed they sent to clients.

Big firms would be paying $415,000 a year more by 2029, while most brokers would see a far smaller hit.

A lawyer in the case says his legal team was able to present text messages showing a Stifel wealth manager had been touting complex structured notes as low-risk investments.

Regulators say Invesco felt pressure to overstate its investment support for environmental, social and governance causes for fear that hundreds of billions in AUM would walk out the door.