The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

Commissioner Danny Werfel's announcement of a massive effort "to ensure the IRS holds our wealthiest filers accountable" caught experts' attention.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.

The cofounder and main promoter of the $4 billion OneCoin pyramid scheme was sentenced to 20 years in prison for his role in one of the first and biggest criminal frauds involving cryptocurrency.

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients.

The advisors were all charged with advertising hypothetical performance results without taking into account the particular needs of their audiences.

The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.

The Wall Street watchdog looks for factors like repeat violations and staff members with a history of disciplinary troubles.

Under the proposal, critics argue, investment ads could be considered recommendations triggering advisors' obligation to look out for clients' best interests.

The fees will vary depending on whether they're assessed on equities, options or over-the-counter equities.

Advisors have until Dec. 3 to opine on proposed revisions to types of misconduct and resulting sanctions.

The regulator accused a broker-dealer of not having proper supervisory procedures to prevent $533,500 in excessive transactions.

For at least seven years, the company has sought to recoup more than $5.4 million in taxes using an exemption the agency argues does not apply.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

The state regulators group plans eventually to introduce a similar system for independent advisor representatives.

The potential rules for sales or exchanges of cryptocurrency could reduce tax evasion and provide easily understandable documentation, experts said.

SEC crackdowns on off-channel communications are costing firms millions. Here's how to avoid being caught up in the next enforcement sweep.

The company is paying $75 million in penalties and restitution in connection with SEC allegations that its investment advisory arm overcharged customers it inherited in its Wachovia acquisition in 2008. The settlement is said to show the importance of conducting extensive compliance checks in a rapidly consolidating industry.

Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.

Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.