The Internal Revenue Service is postponing for a year its requirement for e-commerce platforms, including Venmo, PayPal, Cash App and Etsy, to send tax forms to customers who have transactions of more than $600.

Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.

The giant wealth management firm allegedly made inaccurate representations to the regulator involving the call logs on two of its internal network drives.

A lack of adequate safeguards has made it too easy for criminals to prey on elderly Americans.

Rohit Chopra, director of the Consumer Financial Protection Bureau, said the bank is "not making rapid progress" and hinted at the possibility of additional restrictions. But analysts saw positives for Wells in the $3.7 billion consent order.

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.