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.

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.

"Advisers cannot just sell an all-Vanguard portfolio and hope to afford their fee," says Jonathan Steinberg, WisdomTree's CEO.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

A $650M firm serving HNW clients wanted help "navigating regulatory change."

Confusion among affluent taxpayers could lead to new ways to help clients.

Digital platforms have to overcome two key challenges to ensure they survive, according to the CEO of Orion Advisor Services.

Key people should be focused on rainmaking, not endless other tasks.

If you plan to join another firm or go indie, you’d better reacquaint yourself with this landmark agreement first.