Regulation

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The former broker bilked more than a dozen former clients over an eight-year period, prosecutors said.

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

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.