Regulation

Like the industry it oversees, the regulator has rising technology and compensation costs.

Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.

The regulator is looking into whether brokers made appropriate share class recommendations for the plans as a result of the new law.

The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Experts say these loans deserve a second look, partly because of a series of federal reforms in recent years.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.

Even as BDs transition from their commission roots, too many still treat advice as a liability.