Regulatory reform

A federal judge agrees with plaintiffs that the Federal Trade Commission lacks authority to set rules on unfair competition.

The high court ruling deals a serious blow to a system that critics contended had allowed regulators to act as proverbial judge, jury and executioner.

Yext's CEO said his firm could have tried building its own in-house compliance software. Instead, it found exactly what it needed at Hearsay Systems.

The terminations come amid a renewed push by firms to haul employees back into the office.

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting their branch office remotely; plus, the rundown on residential supervisory locations

Difficulties loom over syncing U.S. stock exchanges with global transaction cycles.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.