SEC

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

To win at cybersecurity, base your strategy on the way you are already serving clients.