Kenneth Corbin

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

The regulation, which has broad support among RIAs, has spurred firms to streamline policies and procedures, according to a new study.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Robert Cook said wealth management firms "must do their part."

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

The regulator wants the exam process to be a dialogue with firms and advisers.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

As university planning programs churn out the next generation, RIAs may want to drop by campus.

The regulator not only aims to stiffen penalties against bad actors, but also the firms that hire them.

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

Business groups looking for regulatory relief were quick to hail the Senate's confirmation of Jay Clayton, a veteran Wall Street lawyer.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

A professional website is a necessity, as is a presence on LinkedIn.

The "I am a CFP Pro" campaign will feature younger, more diverse voices from the planning community.