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.