A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.

The agency recommends that financial advisors, tax professionals and their clients start by using a tool on its website and offers a few other helpful words of advice.

With the agency receiving tens of billions of dollars from the Inflation Reduction Act, a new watchdog report identified several areas for improvement.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

The online portals could make working with the agency easier for financial advisors, tax professionals and their business owner clients.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

The late actor's estate fell short in a five-year quest involving the distribution of a hedge fund position when his financial advisor left UBS for Merrill Lynch.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

Avantax's parent had sued two firms owned by its future buyer and one of its major branches prior to the agreement to go private in a billion-dollar acquisition.

Regulators are likley to enter into dialogue with industry about the best way to proceed.

Firms and industry groups warn that the regulator's proposal for reining in robo-advisors and sophisticated investing algorithms would step on their fiduciary duties and Regulation Best Interest.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

FINRA booted Scott Reed from the industry after he went outside his firm to raise money for a software and web development firm.

Over the weekend, Congress approached and then retreated from fiscal armageddon. Wall Street's response: Whatever.

The Wall Street giant's private bank contends it had advised the plaintiffs against concentrating their money in risky investments.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.