Law and legal issues

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

The arguments in Moore v. U.S. carry major potential implications, but these 14 excerpts suggest SCOTUS will deliver a less sweeping decision next year.

Only 68 tipsters received money in 2023, down from 100 in the previous year.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.

A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.

Key justices suggested the tax, which aimed to collect hundreds of billions of dollars on a one-time basis, wasn't fundamentally different from other levies imposed by Congress over the years.