Repeat offenders will be highlighted by CFPB platform.
There is one way to help avoid such litigation in the future, one lawyer says: Get rid of vesting schedules.
For those who want to avoid becoming fiduciaries, be wary of the line between education and advice, lawyers warn.
The New York-based firm and its CEO made false statements and doctored portfolio data for a fund with positions in China, according to the SEC.
The banks are pushing more staff to report for in-person work as Finra shifts its rules around workplace monitoring.
A coalition of trade associations including the Insured Retirement Institute, ACLI, and NAIFA has filed a civil suit against the contentious Retirement Security rule.
Voices from the wealth and crypto industries say the landmark crypto ETF verdict will open new doors for investors and advisors.
Citing bitcoin ETFs, a bipartisan group of house representatives issued the call ahead of the federal securities regulator’s pivotal decision.
Two dissenting voices from the federal regulator warned the penalty could create "a counter-productive dynamic" with its regulated entities.
Financial Innovation and Technology for the 21st Century Act passed by the House.
Regulator says that claims of 'stringent' new rules are incorrect.
The federal securities regulator says the exchange giant took four days to report a vulnerability in its network, violating its internal procedures.
Marc Cadin responds to a recent InvestmentNews editorial and explains why he believes the DOL process and pro-fiduciary rule argument are both flawed.
Associations for life insurers and financial advisors laud the move, renews call for “sensible protections” around guaranteed lifetime income products.
State Governor Stitt signs legislation adding financial literacy education as a requirement for high school graduation.
'Our department’s Reg BI-related disciplinary actions have been increasing,' noted a senior Finra executive.
Decision overturns lower court ruling won by payday loan trade bodies.
Updates to a 24-year-old rule will require firms, including broker-dealers and RIAs, to prevent cyber risks and notify clients of incidents.
A bicameral group of senators and house representatives have launched a joint resolution seeking to quash the rule.
The self-regulator has updated its guidance around requirements for firms to oversee chatbot messaging for investors and AI-generated content.
