Regulation

The new rule package will require firms to take a hard look at their compliance programs.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

Brokers at the firm have expressed concern their employer and the CFP Board are on a collision course.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

Here are questions the agency has been asking.

FINRA Rule 3210 typically requires permission for brokerage accounts.

It could be the most significant update to advisor standards of conduct in years.