The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

The arguments in Moore v. U.S. carry major potential implications, but these 14 excerpts suggest SCOTUS will deliver a less sweeping decision next year.

Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.

The AARP, the Chamber of Commerce, Cetera, Betterment, FPA, CFP Board, NAPFA, FSI and other stakeholders weighed in on the agency's rule proposal.

The Internal Revenue Service has updated its frequently asked questions to offer more guidance on what kinds of components can be used in electric vehicles to qualify for tax credits.

Grayscale Investments, the cryptocurrency-trust manager vying for U.S. approval to convert the world's biggest bitcoin trust into an exchange-traded fund, says Silbert has resigned as its chairman. He heads a related company that is the subject of lawsuits by U.S. regulators.

Only 68 tipsters received money in 2023, down from 100 in the previous year.

It's cheers for pro bono advisors and people working to diversify the industry, and jeers for planners who defraud the elderly and big firms that let their regulatory responsibilities slip.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

The IRS is rolling out a voluntary disclosure program to let businesses pay back Employee Retention Credits they claimed in error.