Kenneth Corbin

As new state regulations loom, experts caution that examiners already expect advisors to have a business continuity and succession plan in place.

The wife of Home Shopping Network co-founder Roy Speer is seeking upwards of $170 million in damages for excessive trading and breach of fiduciary duty in a case pending before FINRA.

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.

Amid flagging confidence in retirement security, advisors can change the conversation by focusing on outcomes and planning for sustainable income.

New research finds that advisors can play a critical role in alleviating some of boomers' retirement anxiety -- even if they may underestimate how long it takes to build client trust.

The proposed consolidated database would bring together BrokerCheck and IAPD and include data on unregistered financial professionals across the industry.

Andrew Bowden will return to the private sector after four years of working to streamline the SEC's advisor exam program.

To better police the advisory industry, the SEC chief seeks additional funding for advisor examinations and to bolster enforcement.

Investigators will remain focused on RIAs, the commission's enforcement chief told lawmakers in his appeal for funds to add staffers.

As federal regulators mull rules to extend anti-money laundering requirements to advisors, industry members might want to act on their own to set up formal programs to screen for suspicious activity.

The review is likely to start with broker-dealers and their platforms; It will coincide with a second, more targeted phase of the commission's cybersecurity sweep.

The SEC acknowledges that cybersecurity requirements vary from one practice to the next, but insists that the tone from the top is critical.

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

The Institute for the Fiduciary Standard is asking for input from the industry in its effort to help consumers distinguish between fiduciary advisors and "product sellers."

This year's examination guidance memos from the SEC and FINRA highlight the compliance issues that will be getting the most scrutiny. Have you been paying attention?

New survey from Merrill Lynch underscores the importance of advisors talking with retirees about selling or staying in their homes.

Now that the Labor Department has pressed forward with a controversial proposal for advisors in the retirement space, where do the rules go from here?

The president insists that fiduciary requirements must apply to brokers working in the retirement space to protect investors from conflicted advice.

As controversial fiduciary proposal to curb conflicted retirement advice heads to White House for review, insiders see exemptions permitting commonplace brokerage business models.