Regulation

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

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.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

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.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

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