The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.

Before it collapsed, the disgraced crypto exchange had its sights on a new target: retirement accounts.

The crypto tax environment, new crypto reporting requirements and a recently launched crypto education resource are among the latest developments in digital assets.

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

At the start of 2022, Biden administration officials were cautious about how to regulate the commingling of cryptocurrencies and traditional finance. By the end of the year, agencies had taken a tougher stance, and the downfall of FTX portended more of the same in 2023.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

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.