Christopher Turean admitted to moving money out of a customer's account to place bets on DraftKings and FanDuel.

Moore v. U.S. could "basically get rid of, I don't know, a third of the tax code," former House Speaker Paul Ryan has said.

An anonymous tipster helped the agency catch more than 100 high net worth individuals who paid a combined $71 million in previously avoided taxes.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.

A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.

A short window won't necessarily stop lawmakers from proposing or introducing new legislation, though — if only to position themselves ahead of next November's election.

While the "retirement security rule" comprises the main part of the potential regulation, other shifts in existing standards will affect financial advisors as well.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

Among other things, they may unintentionally snare mutual funds, an expert testifies.

The service will postpone the lower threshold, but will phase in a threshold of $5,000 for tax year 2024.

A female Citigroup Inc. equities managing director sued the bank, alleging that she endured "horrifying" sexual assault and harassment by superiors

The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.

The Treasury and the IRS issued laid out possible regs to update the investment tax credit rules to encompass various forms of renewable energy.

The regulations address new subsections of the law from the SECURE 2.0 Act.

Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

While academics and supporters of the "retirement security rule" proposal say the administration's numbers are valid, critics reject them. Here's what we know.

A pair of advisors caught up in long-standing recruiting litigation will lose money from an earlier FINRA award in order to pay penalties to their former employer.