Financial regulations

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.

Anticipation of auto enrollment features is expected to change the way advisers serve their clients.

The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

Though against the firm's policy, the wirehouse still permitted the purchase of securities with credit lines "on thousands of occasions" during a four-year period, according to the regulator.

A handy guide for advisers, legislators and regulators to decode the jargon used to talk about issues important to the planning profession.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

Industry firms taking a similar approach can clarify confusion for clients and stem attrition among adviser ranks.