The Financial Crimes Enforcement Network Tuesday proposed a rule to include investment advisors in the compliance regime under the Bank Secrecy Act, aiming to close regulatory gaps exploited by criminals.

The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.

The market-making firm warns of costs and intrusions into investors' privacy.

Understanding new retirement regulations and utilizing technology will help your firm grow.

A provision paying for breaks for parents and business owners has earned widespread praise, but an expert says financial advisors should be on alert.

A Republican running for the U.S. House accused the Wall Street powerhouse of violating its own rules by not letting her step aside to conduct a campaign. A FINRA panel agreed.

In correspondence with Rep. Andy Barr, R-Ky., the Federal Reserve and Office of the Comptroller of the Currency said the Securities and Exchange Commission's proposed safeguarding rule could change banks' custody businesses.

The charges likely lead to a "layup" situation for FINRA should it seek to oust the broker.

A report from the Investments & Wealth Institute's journal explains the most important pending proposals from the SEC, the Labor Department and other regulators.

The emergency rules for brokers operating out of home offices since the pandemic will expire at the end of June.