The Trump DOL has said it "has no current plans" for further rulemaking, but that contradicts its own notice of potential regulation last year.

A proposed Labor Department rule could ease the path for alternative investments in 401(k)s, but advisors may face new due diligence and communication challenges.

The investment recommendations from a now-barred broker may ultimately cost the St. Louis-based firm more than $200 million in various penalties and awards.

A decade after the SEC first raised concerns about outsourced CCOs, the model is growing. But the fundamental tension remains: How many firms can one person truly oversee, and at what risk?

The company's investment advisory subsidiary was dinged for failing to properly disclose that its allocation of certain client assets represented a conflict of interest.

Swiss banking giant UBS Group received federal approval from the Office of the Comptroller of the Currency to convert its $1.6 trillion-asset UBS Bank USA from a Utah-chartered industrial bank to a national charter.

Andrea Bethune contends in federal court that Carson Group moved her into a new role to make way for a woman 20 years her junior. Eventually, her position was eliminated.

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court decisions.

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal securities laws apply to crypto.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

While Republican-led states are mostly adopting the various tax changes from the One Big Beautiful Bill Act, some states led by Democrats are refusing to go along.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

Since President Trump took office in his second term, the expert panel advising the Department of Labor on ERISA matters has stopped meeting, and officials have not explained why.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

At Future Proof Citywide, Azish Filabi of The American College of Financial Services, outlined the need for firms to be careful with client data and stress-test their infrastructure.