Agency's critics say many companies still see their settlements as a cost of doing business.

CFP Board is seeking to preserve "adversarial principles" in proceedings before its disciplinary and ethics commission.

In hindsight, Sam Bankman-Fried's April interview with Bloomberg's "Odd Lots" podcast was a harbinger of his epic collapse last week. He described a "box" that has value only because other people put money in it, and, when confronted with the idea that he described a Ponzi scheme, admitted there was a "depressing amount of validity" to that.

Tax experts are hypothesizing what will happen in Congress during the lame-duck session and over the next two years.

CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.

The justices' decision in SEC v. Cochran could ultimately reduce the power of administrative law judges over advisors and broker-dealers.

The Treasury and State departments have quietly urged banking giants including JPMorgan Chase and Citigroup to keep doing business with certain strategic Russian firms, according to people familiar with the situation. Some lawmakers have questioned whether these arrangements are sanctions loopholes.

The regulator's demand in confidential talks to settle a series of investigations into mistreatment of customers, described by people with direct knowledge of the matter, reflects its escalating frustration with the bank, which has been punished multiple times by authorities over the past six years for a variety of abuses.

Though an oft-cited index shows that 16 non-traded REITs gained 71.1% over the past five years, regulators appear unimpressed.

Consumer advocates cheered the outcome of the case and the regulator's enforcement push in recent years. Commonwealth's case is still pending.

Between winning awards for her work in the DEI space and educating chief compliance officers, the ComplySci leader keeps a full schedule.

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

Taking effect on Nov. 4, new advertising standards will allow client testimonials and bring together prohibitions on false and misleading language.

By keeping an eye on the future and potential new tax developments, tax advisors can offer their clients a sense of stability and proactive tax planning.

Wells Fargo, which set aside $2 billion last quarter to deal with legal matters, said it's in discussions with the Consumer Financial Protection Bureau to resolve investigations.

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

Shareholder documents, now at least hundreds of page long, will have to limit themselves to portfolio, performance and expense information.

An industry group contends that the commission is overestimating RIAs' control over outsourced services.

In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.

Almost 60% of the 564 respondents in a recent survey indicated they viewed the recent spate of legal action in crypto as a positive sign for the asset class.