In letters to the FTC, financial planners contend that noncompetition and nonsolicitation provisions can leave them 'handcuffed' to bad firms.

The founder of a firm that reportedly worked with 13 of the past 15 Super Bowl halftime performers says the transaction undercut the monetization of his company.

In first appearance before GOP-controlled Financial Services Committee, SEC Chair brushes off criticism over regulation of digital assets.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

A securities expert says the Ponzi-like plot allegedly carried out by a former Deutsche Bank investment banker is a sign that regulators need to provide crypto clarity.

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

The firm could be roasted on the coals of its own publicly shared goals for increased hiring and support for diverse advisors, as well as its internal data that allegedly tracks related metrics.

The case offered the latest example of a serious prison term for financial exploitation of older adults — a problem experts say is even bigger than the sobering statistics.

The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.

The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Wealth managers are increasingly pledging to address diversity, equity and inclusion in their businesses.

The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.