Kenneth Corbin

The wirehouse was seeking to resolve class-action lawsuit alleging labor-law violations in advisor trainee program.

SEC Chairwoman tells lawmakers that a uniform fiduciary proposal is advancing and appeals for a funding increase that would be used to beef up advisor exams.

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

Among the measures commission officials say they're working on is a third-party examination framework.

Anthony Kelly, the new co-head of the SEC’s Enforcement Division subunit, looks to reassure CCOs.

New research highlights gender gap, as experts call for more financial education in the workplace and policy changes to address retirement security.

SEC officials warn many advisors and brokers have next to no cybersecurity policies in place, exposing them to data breaches and potential enforcement actions.

As part of a multi-year initiative, the commission has unearthed numerous deficiencies in how advisors and brokers work with and market to clients planning for retirement.

The industry regulator handed out a lifetime ban, fines and suspensions to three brokers involved in a scheme to pump up the trading price and volume of stock.

A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.

ETFs made investing easier for retail clients, not just in stocks but in riskier areas they may not understand like currencies and bank loans.

The commission wants to dramatically reshape the regulatory environment for investment advice in waning months of President Obama's administration.

About 75% of what's in the proposal will probably stick, says a leading retirement expert. Here's what advisors can expect.

The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities.

A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims.

Pooled employer plans and auto-enrollment gain Senate support, but advisors working with those plans could soon be held to a higher fiduciary standard.

Larry Werbel, head of Evolution Partners Wealth Management, intends to plead not guilty on charges that he was paid off by an ex-convict to lure clients into worthless investments, his lawyer says.

Retirement trade group pitching Labor Department on changes to protect commission-based advice and proprietary products.

The regulator's Office of Compliance Inspections and Examinations plans to beef-up focus on longstanding areas of concerns in the RIA and brokerage space.