A court of appeals agreed with Commonwealth's contention that a jury should decide if investors were harmed by investment disclosures allegedly withheld from them.

A sizable increase to the current $10,000 limit on SALT write-offs would represent a major victory for a crucial group of swing-district House Republicans.

UBS contends the nearly $70 million in punitive damages it has been ordered to pay a wealthy Iowa family are not justified under federal or state law.

Delivering documents via SMS can smooth a stressful process, reinforce advisor-client bonds and keep firms on the windy side of industry regs.

NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.

The case is the latest to shine a light on the conflicts of interest and bitter recrimination that can arise from the personal relationships advisors often form with clients.

Messaging apps aren't going anywhere, and neither are regulators — but done right, compliance can become a competitive advantage.

The public has until May 13 to comment on a proposal that would prevent brokers from having to list side hustles like online antiques stores or after-hours bartending gigs.

Pending the confirmation of Trump-appointee Paul Atkins, acting chair Mark Uyeda is pushing back effective dates for pending rules and curtailinig crypto regulation.

With the Trump administration pledging to review recently passed federal rules, the Investment Adviser Association wants to submit new comments on an anti-money-laundering law for RIAs.

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.