SEC

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

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.