Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

Prosecutors accused firm founder David Gentile and his partner of putting at risk more than $1.8 billion raised from thousands of investors.

Firms' practice of offering low returns on clients' uninvested cash is becoming the latest hot legal target.

Decisions granting a stay during industry lawsuits challenging the regulation point to a high bar of judicial scrutiny.

Wells Fargo joins Morgan Stanley, Merrill and Ameriprise in facing questions over its handling of clients' uninvested cash.

FINMA, the Swiss Financial Market Supervisory Authority, is tightening its scrutiny following the collapse of Credit Suisse last year.

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

Opponents of the new regulation won a legal victory in a ruling that places it in a stay during their lawsuit challenging the legality of the changes to ERISA.

This year's election and a potential replacement doctrine with unclear boundaries could ultimately determine the fate of Labor's retirement advice rule.

The SEC has approved the first U.S. exchange-traded funds investing directly in ether, the world's second-largest cryptocurrency.