SEC

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

"Data analytics is critical," says FINRA's chief risk officer.

Nov. 13: Planners behind the curve may lose out on productivity and quality of service offered to clients.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

“People need to know what the rules are,” an industry consultant says.

The department's proposal furthers efforts to undo the controversial regulation.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.