Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

A federal court has temporarily halted the Securities and Exchange Commission's climate-related disclosure rule in response to a lawsuit from a pair of fracking companies.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

A CFP Board-commissioned survey found that the vast majority of retirement savers think fiduciary standards for rollovers are already in place or should be.

Some companies are misrepresenting when food and wellness expenses can be paid for by FSAs, HSAs and other health spending plans.

One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.

The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.

A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.

A new GAO study adds more fuel to the research suggesting the agency should be probing more rich households. Tax pros say those efforts will have big implications.

A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.