Between sunsetting provisions, wealth tax proposals and much more, Nov. 5 will have serious consequences in tax.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

After helping to lead a crackdown on the cryptocurrency industry and Wall Street's use of off-channel communications, Gurbir Grewal is leaving the SEC.

The technology could change the way many financial advisors interact with their clients, but that evolution will come with important questions, an expert says.

Agencies including FINRA and the SEC are looking at new risks posed in common use cases of AI — meeting dictation services, chatbots and using data to hyper-personalize ads.

TD Bank must pay more than $20 million to resolve investigations over a former trader's alleged placement of "spoof" orders to manipulate the Treasuries market.

A pair of wealth managers stand accused of allocating trading gains to themselves and losses to their clients in a way that had "nearly zero" chance of happening at random.

At FINRA's advertising regulation conference in Washington, D.C., leaders said they are looking at how broker-dealers are using large language models and AI translation services.

The latest lawsuit accuses the firm of not only failing to look out for clients' best interests but also failing to secure "reasonable returns" on money held in retirement accounts.

Merrill and a partner firm were accused of running a complicated yield enhancement strategy, or CYES plan, of the type that has long been in regulators' crosshairs.

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of perfection with regulatory matters.

Plaintiff Stephen A. Greco has the opportunity to file an amended complaint, but a federal judge took his allegations of conspiracy to task.

The court filings seek to overturn two injunctions federal courts imposed after finding the Department of Labor's new conduct standard is too similar to a previous one vacated in 2018.

Leading advisors and tech experts will answer questions on how to keep AI in regulatory check and demonstrate new tools to ramp up compliance and fraud oversight at Financial Planning's quickly approaching ADVISE AI conference.

Large exchanges argue some of the changes could make it more costly for them to offer rebates to brokers in return for order flow.

Regulators allege First Horizon Advisors violated Reg BI when it continued recommending complex investments even though it was struggling to bring over customer information from a recent acquisition.

The SEC head said artificial intelligence is promising for innovation and greater access to financial markets, but there's a need to ensure diversity of algorithms and guard against fraud.

If successful, previously banned brokers might be free to "fleece your grandma" again, an expert warned.

The Internal Revenue Service issued final regulations on consistent basis reporting between an estate and a person acquiring property from a decedent.

A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.