Regulation

Our industry is not becoming more consolidated. It’s becoming more fragmented.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

Advisors should pay attention to compliance issues and evolving expectations from clients.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

The growing number of independent financial advisors could spell trouble for traditional RIAs, says the head of the national advisory firm.

Nobody at the firm today owns more of its stock than Greg Palm.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The planner is among the brightest minds in the financial planning profession, but his endorsement of the organization's certification standards is "decidedly enigmatic."

From the SEC to the Supreme Court, here's what could be playing out this year.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.