Financial regulations

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

Arbitrators for the regulator also awarded an expungement to Dale Cebert, who claimed a campaign to damage his reputation followed his termination from the wirehouse.

Uncertainty still surrounding the fiduciary rule is one reason why advisors say they are not committing to specific upgrades just yet.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

Consultants are turning to technology as the SEC ramps up RIA exams.

The firm, which claimed it missed when Michigan made the requirement a law, called the oversight a "mistake."