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The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.

Before it collapsed, the disgraced crypto exchange had its sights on a new target: retirement accounts.

The crypto tax environment, new crypto reporting requirements and a recently launched crypto education resource are among the latest developments in digital assets.

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

At the start of 2022, Biden administration officials were cautious about how to regulate the commingling of cryptocurrencies and traditional finance. By the end of the year, agencies had taken a tougher stance, and the downfall of FTX portended more of the same in 2023.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.

The Internal Revenue Service is postponing for a year its requirement for e-commerce platforms, including Venmo, PayPal, Cash App and Etsy, to send tax forms to customers who have transactions of more than $600.