Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.

The Treasury Department announced a timeline for offering more information on some of the main tax provisions of the Inflation Reduction Act.

The top U.S. financial regulators are worried about the prospect of deeper ties between digital-asset firms and Wall Street.

The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.

The two Black financial advisors dropped their case, but constant litigation in the industry spotlights questions over firms' pledges to change.

40 critical regulations, court decisions, laws, IRS proposals and other major changes to the tax landscape from the past 12 months.

Regulators are taking the first step towrard the most widespread revamp in more than a decade in the way that stocks are traded.

The eight defendants in the federal investigation stand accused of making more than $100 million from manipulating stocks on social media.

For financial planners working with digital assets, the key to staying on regulators' good side is to 'disclose, disclose, disclose.'

Lawyers see many reasons for concern when discussing the asset class with investors, but not enough to avoid talking about it and learning about it.

A retired dentist won a huge FINRA arbitration award after accusing his best friend and longtime broker of trading in tech stocks without his consent.

Publicly traded companies exposed to the "crypto winter" and the collapse of FTX or other digital-asset companies might have to disclose those details to investors under new guidance from the Securities and Exchange Commission.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

With a message that stresses education and warns of volatility, the organization is reminding CFPs that their responsibilities don't change when the asset is digital.

The push to regulate non-traded REITs lurks behind new concerns about liquidity.

The former CEO of Sanctuary's predecessor firm, financial advisor Mark W. Damer, won a major arbitration award related to his 2019 termination.

In two FINRA enforcement cases and an arbitration award, wealth management firms are resolving allegations that they breached their duties.

The megabank's traditional brokerage unit has already paid a FINRA arbitration award and five settlements totaling $47.4 million.

Revelations about the failed cryptocurrency exchange FTX's inroads into the banking system raise important questions about how limited the crypto crash really is.