Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...

In the latest filing in its suit against FINRA in federal court, the Utah-based brokerage firm disputed the regulator’s claims that a ruling against it could have a dire impact on investors.

The SEC said it is delaying the decision on Hashdex's filing to 2024, a move they have already done for a number of other ETF hopefuls.

Despite industry protests asking for more time, the DOL will hold its public hearing on the rule next month and close the comment period Jan. 2.

Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.

Parsonex Capital Markets failed to tell clients that several of its reps and one of its affiliated firms had checkered regulatory histories, according to FINRA.

The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.

The industry pros who keep America’s $7.3 trillion exchange-traded fund market humming are warning that the settlement shift next May spells trouble for more than 500 US-listed funds that hold overseas assets

The SEC Chair said there’s inherent conflicts in using algorithms that optimize advisors’ profits and revenues during a conversation at SIFMA’s Public Policy Meeting.

The Pacific Legal Foundation, which has a record for arguing against “government overreach” before the Supreme Court, is representing Frank Black in the latest case challenging FINRA's Constitutionality.