The Securities and Exchange Commission's overly broad expansion of the Dealer Rule is only the latest example of the agency's yearslong effort to stifle innovation in a vibrant and growing industry.

Firms' aggressive pursuit of repayment of recruiting loans is likely a reflection of how massive some recruiting deals have become in recent years.

Difficulties loom over syncing U.S. stock exchanges with global transaction cycles.

The elimination of "staking" and associated yields tamp down enthusiasm for the products.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Large companies are bolstering their adjusted earnings per share by excluding items such as litigation expenses and amortization of intangible assets from their net income.

The independent broker-dealer giant contends in court that a federal judge went too far in telling a pair of its advisors that they couldn't reach out to clients they had while at TD Bank.

With a deadline looming for the SEC to decide on one of the ether spot ETFs, signs suggest the regulator may be softening.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

At least 17 Republicans and one Democrat, Sen. Joe Manchin of West Virginia, have signed onto a joint resolution under the Congressional Review Act.

Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.

Three regulatory amendments that are attached to the new "retirement security rule" display the stakes of the legal challenge already brewing in court.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

The Internal Revenue Service issued the annual inflation adjustments for health savings accounts in 2025 as prices continue to rise.

The once-discraced firm has benefited from the recent strong rallly in cryptocurrencies.

The SEC's guidance is a part of a much broader movement as the U.S. strives to catch up with Europe.

Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.

As it and other critics pursue a coordinated legal strategy, a trade group for independent insurance agents requested an injunction to put the regulation on hold.

The banking giant has already settled two other similar disputes with regulators.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.