Kenneth Corbin

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.