Kenneth Corbin

The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.

Leading trade groups counter a request from AARP and three states for fiduciary rehearing, in hopes that the circuit court's rejection will be the last word on the regulation.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

A new survey finds that investors prize full and upfront disclosures about fees and conflicts of interest, but advisors fall short.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.

She'll now be responsible for supervisory operations at one of the largest firms she once helped regulate.

The revised code of conduct will broaden fiduciary responsibilities for planners, but critics say the framework falls short on disclosures and conflicts.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

Industry insiders see the agency proceeding with its rule to harmonize standards for brokers and advisors.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Some are calling for the CFP Board to get tough on conflicts and compensation as it finishes revisions to its standards of conduct.

Massachusetts is probing whether the firm's wealth management unit steered clients toward inappropriate investments and high-cost accounts.

The commission is visiting far more advisors than just two years ago.