While she has promoted the Biden administration's policies, she has campaigned on ideas that are more far-reaching in scope than the president's plans.

Meanwhile, several top executives at the regulator saw their pay rise in 2023 as compared to the previous year.

Industry groups say RIAs are receiving SEC letters inquiring about compliance with the new T+1 settlement rule for stock and bond trades.

Former President Trump is disavowing the conservative blueprint, which advocates for radical shifts in regulations and taxes that would reverberate in the industry.

A broker argues the Supreme Court's recent decision in the Jarkesy case means he should get to defend himself against fraud allegations before a jury.

The decisions indicated that justices will use far stricter scrutiny of government regulations moving forward, and some cases dealt a direct impact right away.

The arbitration award comes amid the industry's aggressive push to make sure departing wealth managers pay back money owed on recruiting loans.

A federal judge agrees with plaintiffs that the Federal Trade Commission lacks authority to set rules on unfair competition.

FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.

The court made it tougher for the administration to defend regulations it issued in recent months to tackle climate change, forgive student debt, crack down on so-called junk fees and write tax regulations.