An industry lawyer says the firm's liability in a complex insurance-related scam will hinge on what it "should have known" or "must have known."

The U.S. Securities and Exchange Commission is looking at how social media influencers and AI technology may pose conflicts of interest, steer investors' financial decisions.

The U.S. Fifth Circuit Court of Appeals in New Orleans sided with the private funds industry, which argued that the agency overstepped its authority.

The likely more than $1 million award is the latest result from cases arguing that firms' pay policies run afoul of federal retirement law.

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting their branch office remotely; plus, the rundown on residential supervisory locations

The more frequently companies report their earnings, the less likely investors are to make knee-jerk investment decisions, according to recent research.

Safety vetting generative AI in your techstack while anticipating regulatory changes can boost advisor productivity while giving firms a competitive edge.

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

There's a new method of counting defined contribution retirement plan participants that can make a big difference for clients.

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.