Regulatory reform

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

In a new risk alert, the Wall Street regulator warns about lapses with cybersecurity, email and third-party vendors.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

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

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

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