For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

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.

China currently dominates the market for the hardware and software used to mine cryptocurrency. Creating a large federal reserve would expose a major U.S. asset to potential Chinese meddling.

The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.

President Trump signed a series of executive orders after his inauguration, including a hiring freeze for federal government workers, particularly at the IRS.

Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.

The Malvern, Pennsylvania-based asset manager was dinged by the SEC, which said it made misleading statements to some retirement savers.

The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.

As we enter the beginning of 2025, bonus depreciation continues to leverage down as more portions of the Tax Cuts and Jobs Act expire.

The mood in markets and the financial situation are starkly different from 2017, when Trump and congressional Republicans passed a deficit-expanding tax cut.