Kenneth Corbin

FINRA is moving to toughen reporting requirements for BrokerCheck, following revelations that hundreds of registered advisors have failed to publicly disclose personal bankruptcies, criminal charges and other potentially damaging information.

A new study, backed by the industry, says the DoL's new rules could leave millions of workers without retirement advice.

Advisors can help clients navigate the actuarial calculation of matching a savings and withdrawal plan with a projected life expectancy.

Despite an uptick in savings rates, baby boomers are feeling more worried about their prospects for retiring securely, with a quarter of those polled saying they've postponed their retirement plans in the past year, a new study shows.

For investment advisors with a small pool of clients, the threat of a cyber attack that could compromise investors' personal identifying information is especially acute, says one IT expert.

Reluctant advisors are advised to get over their reservations and start extending their marketing efforts to social.

The ability of advisors to recruit and manage millennials will likely play an important role in the industry's sustainability.

Advisors are facing 'the most aggressive regulatory environment I have ever seen,' a securities lawyer tells RIAs at a Fidelity conference this week.

As more people live into their 100s -- and as families in which four or five generations overlap become commonplace -- some core elements of financial planning need to change, says one longevity specialist.

A sharply increasing number of plan sponsors want financial advisor guidance -- but many of the RIAs on Fidelity's platform are just dabbling in the area, the custodian says.

Expected in August, the Labor Department's new draft of a fiduciary proposal for retirement-plan advisors involves taking a more "clear, direct and nuanced" approach to the education vs. advising question, says Assistant Secretary of Labor Phyllis Borzi.

Compliance experts are recommending that firms take a flexible, risk-based approach as they respond to the SEC's red flag rules, a new set of regulations for protecting clients against identity theft.

Advisors will be expected to keep records about the content they post on social sites just as they do with other materials on traditional channels, according to a senior commission attorney.

SEC examiners frequently cite firms for insufficient disclosures, an SEC official says. Here are some of the most common conflicts that advisors fail to disclose adequately to their clients.

Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems.

The commission is committed to moving forward on a uniform fiduciary standard for advisors and broker-dealers and also expects to finalize money market reforms by the end of the year.

In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief.

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

A small division of the firm previously engaged in illicit activities to shield U.S. funds from tax authorities, officials at Switzerland's second biggest bank acknowledged. But they insisted that internal reforms to curb those abuses have since been implemented.