Secretary of the Commonwealth William F. Galvin says a probe into how firms are using AI isn't a condemnation of the tech but an acknowledgement of its potential impact.

The proposal to replace in-person inspections still drives a wedge between investor advocates and brokerage industry groups.

Thomas M. Chadwick steered older adults into a volatile leveraged real estate product nearly wiped out by the pandemic, according to state regulators.

The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.

After a quarter in which the institution helped the firm reap a record profit margin, the company followed rival Edward Jones in withdrawing its application.

The criminal case follows SEC charges alleging the Kaplans bilked clients to pay for luxury purchases like handbags, watches and a matchmaking service.

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

The U.S. senator and a banking group want rules to make it tougher for crypto to be used to launder money and finance terrorism.

Elder financial fraud has skyrocketed in recent years, but research shows that financial professionals can help fight the growing issue.

The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.

Financial advisor Mark J. Dickman had filed his FINRA arbitration case against the firm and officials with Independent Advisor Alliance nearly four years ago.

The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.

There are important nuances to note in the relatively straightforward requirements of the rule.

In one case, an ex-advisor is accused of defrauding clients with disabilities and spending their money on casinos and adult entertainment, among other things.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Such concerns have taken on new importance with recent advances in artificial intelligence tools, which are "the most transformative technology of our time," Securities and Exchange Commission Chair Gary Gensler says.

The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.