As more advisors move to RIA affiliations, the firms are beginning to replicate their broker/dealer counterparts in terms of legal restrictions on advisors, according to Hamburger Law Chief Litigation Officer Sharron Ash.

The author believes regulation of digital assets is overdue, but with it the industry can build public trust and integrate the assets into the global financial system.

The Securities and Exchange Commission chair describes his philosophy of markets and regulation—and why he loves climbing mountains.

CEO Ken Bentsen’s comments came during the organization’s 'state of the industry' presentation, with FTX’s recent collapse underscoring the need for stronger supervision of the space.

The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering more pointed questions for registrants.

James Couture pleaded to charges of wire fraud, aggravated identity theft and witness tampering in September.

The proposed rule would make remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it would allow reps to skirt oversight.

Landmark program recoups $5.6 billion for victims. Informants say it could be even more.

A proposal being circulated inside Wall Street’s main regulator would require that brokers in fixed-income and some derivatives—as well as those handling equities—get their clients the best deal.

The SEC said the Goldman Sachs Asset Management unit “had several policies and procedures failures involving the ESG research its investment teams used to select and monitor securities.”