If you haven’t reviewed your Form CRS recently, here’s a good starting place to spot possible compliance problems.

Trade groups like American Bankers Association and SIFMA want more opportunity to respond to proposals.

In a court filing, Wells Fargo argued there was "no evidence in the record" supporting the existence of a verbal agreement between its counsel and FINRA to exclude certain arbitrators from their cases.

If confirmed by the U.S. Senate, Jaime Lizarraga would replace Allison Herren Lee and Mark Uyeda would fill an open Republican seat.

With the continued focus on index providers and the growth of index-based investment products, increased regulation is inevitable, writes the former CEO of S&P Dow Jones Indices.

The big name providers are set to become even bigger, writes the former CEO of S&P Dow Jones Indices.

Autumn Jordan and Manuel F. Pinazo, who previously worked at Merrill Lynch Wealth Management, were among those who applied for assistance under one of the government’s COVID-19 relief programs "based on false and fraudulent representations and...

This proposed reform could have several collateral effects that may make the situation worse.

John Law will serve 10 years in prison for participating in the nationwide scheme, in which he and his co-conspirators misappropriated millions in clients' funds.