The SEC also charged the firm with failing to adhere to policies and procedures designed to catch evidence of excessive trading in client accounts.

You set yourself apart when you recognize your clients’ losses and support them in ways that most others do not.

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 tax code may be complicated, but it's got nothing on TikTok slang.