The threat of a government shutdown receded Friday, but the IRS would nevertheless still operate during tax season, even at lower capacity, in the event of a shutdown.

Stifel follows closely on UBS's heels in getting hit with tens of millions in punitive damages.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

A federal judge agrees with Merrill that deferred compensation is a bonus used to reward employee loyalty rather than a retirement benefit protected by federal law.

The House of Representatives passed a resolution to repeal the regulations that created reporting requirements for digital asset brokers using decentralized finance systems.

Organizations that work toward boosting industry diversity say President Trump and other critics may be missing the moral and business implications of their efforts.

The murder of George Floyd nearly five years ago prompted many wealth managers to recommit to diversity, equity and inclusion. Some worry what little progress they've shown since is now at risk.

In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.

Among other things, regulators accused Robinhood of failing to supervise social media influencers and said some of its social media messages were misleading to investors.

The dispute shows Edward Jones has become emboldened in taking legal actions against advisors perceived to have inflicted harm on its business interests by leaving for another firm, one industry recruiter said.

President Donald Trump took the lectern Tuesday for his primetime address beset by warning signs about the U.S. economy.

Financial advisors and their clients will need to prepare for many possible outcomes by focusing on the key themes around these eight TCJA policy issues.

Nearly 84% of U.S.-based plans have an ERISA violation, spotlighting a need for independent benchmarking audits.

President Trump and his Republican allies in Congress aim to extend the expiring provisions of the Tax Cuts and Jobs Act. But they'll need to fill in a lot of details first.

A group of nine claimants said they lost millions after the UBS broker Andrew Burish recommended they place bets that Tesla shares would decline in value.

U.S. District Judge Susan Brnovich found Ameriprise failed to furnish evidence that data taken by a recently recruited advisory team was going to be used to solicit their clients to LPL.

The Immersion conference seeks to boost the number of planners using alternatives to the traditional AUM fees one advisory practice — and attendee — at a time.

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

The new group will be in charge of fighting fraud not only in digital assets also in social media platforms, artificial intelligence, machine learning and blockchain technologies.

Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.