Todd Cipperman

We've had many chances to learn, from the dot-com bust to the 2008 financial crisis. But the storm is perhaps most applicable to our current situation.

From closed-end funds to Reg BI, here's what could be playing out this year.

One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

From the SEC to the Supreme Court, here's what could be playing out this year.

What should advisors expect from the upcoming regulation?

While some are mainstays, there are a few new ones to add to the list this year.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.