Kenneth Corbin

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.

A new campaign, which highlights the toll investors may face from conflicted retirement advice, is designed to win grass-roots and government support for the regulation.

The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.

With an eye toward potential repeal, Alexander Acosta told senators that he will abide by President Trump's executive memorandum and review the rule's impact.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

"To me, that rule, it was about one thing and it was about enabling trial lawyers to increase profits,” acting Chairman Michael Piwowar says.

Caution to advisers: If you cop a deal with the SEC for leniency, be sure to hold up your end of the bargain.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.

Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.