These and other issues were the topics of the "2025 Markets & Economy Outlook" webinar Monday with Fidelity Investments.

Leadership appointments and an influx of new crypto-friendly lawmakers suggest the 119th Congress could be the most fintech and crypto-friendly in years.

Regulators have handed down more than $3 billion in penalties over employees' alleged failures to record business-related messages sent on services like WhatsApp.

Regulators accused the online brokerage of failing to accurately report trades, comply with short selling rules and maintain proper books and records, among other things.

Two brokers had sought an unspecified amount that they argued they were owed from when they worked at the Wall Street giant before departing for rival firms.

Lawsuits before the Supreme Court and in lower federal courts across the country could further reduce enforcement powers at the IRS and the SEC this year.

The firm says a summer intern who was turned down for a full-time position sent harassing messages that led it to close its Atlanta office for two days in January.

The proposed regulations involve provisions of the SECURE 2.0 Act, including auto enrollment in 401(k) and 403(b) plans, and the Roth IRA catchup rule.

Michael and David Sztrom, who settled fraud allegations with the SEC in 2022, contend the regulators' "follow on" attempt to boot them from the industry violates their constitutional rights.

Republicans broadly agree that there's little room for error on what is a rare opportunity for the GOP to update the Tax Code without having to make any concessions to Democrats.

Edward Jones stood accused of not properly supervising advisors who were charging clients commissions for mutual funds and then moving the fund shares over to fee-generating accounts.

The Treasury Department and the Internal Revenue Service released final rules for the Clean Electricity Investment and Production Tax Credits in Sections 45Y and 48E of the Tax Code.

Johnson said the massive bill would address issues such as border security, including money for the mass deportations of undocumented immigrants; and an extension of the 2017 Trump tax cuts.

The "model rule" for state regulators is meant to help clients distinguish between advisors who earn management fees and brokers who collect transaction-based commissions.

A FINRA arbitration panel sided with a claimant who contended Wells and one of its advisors should have recognized telltale signs of elder fraud when their client decided to give away tens of thousands of shares of Aflac stock.

The tax-efficient, low-cost funds may have an even greater advantage over traditional mutual funds due to the IRS's lack of a definition for "substantially identical" securities.

From LPL Financial's legal challenges to a continuing education scam that involved more than 60 brokers, these are the stories our readers flocked to in 2024.

The SEC should amend the regulation in order to help workers who can't afford to wait for an IPO to access the value of their equity.

Edward Turley, a once high-flying advisor booted from the industry in 2022, is at the center of a dozen client settlements costing JPMorgan upward of $63 million.

Industry watchdogs stayed busy trying to root out elder fraud and off-channel communications while plaintiffs lawyers' questioned firms' sweeps policies and regulators' basic authority.