The wealth management giant questions if there has ever been so large a civil sanction handed down in response to "negligent mistakes" made in an attempt to comply with "unwritten rules."

Fears — including running afoul of regulators or garnering ego-crushing reviews — have kept advisors behind the curve of an already ubiquitous marketing practice. Here's how advisors can play catch-up.

While AI tools like ChatGPT are abundant, there's no guarantee compliance will approve it for office use. Here are some tips for getting new tech through the gauntlet.

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.

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.