Regulation and compliance

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

The testifying group includes the CFP Board, AARP, the Insured Retirement Institute, the Financial Services Institute, several academics and financial advisors.

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

A public hearing on the "retirement security rule" is set for next week as opponents call for more time and express concern about the potential impact.

In remarks at a Goldman Sachs investor conference, Dan Arnold discussed the potential rule and shared his view of the industry's competitive landscape.

A tech firm that works with some of Wall Street's biggest names finds that off channel communications continue to be a problem.

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

Christopher Turean admitted to moving money out of a customer's account to place bets on DraftKings and FanDuel.

Moore v. U.S. could "basically get rid of, I don't know, a third of the tax code," former House Speaker Paul Ryan has said.

An anonymous tipster helped the agency catch more than 100 high net worth individuals who paid a combined $71 million in previously avoided taxes.