Regulation

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.

Data aggregators provide big advantages for RIAs, but criticism is mounting.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

The banker involved in a case going before the justices is accused of misrepresenting the financial condition of a client.

The firm is changing course in response to a shifting regulatory landscape and advisor feedback.

James Polese and another advisor used the funds to pay bills and cover kids’ college tuition, according to the Department of Justice.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

The board is calling for public comment on a variety of changes and released FAQs for planners about new standards of conduct taking effect next year.

A bear market in marijuana isn’t the only challenge for new funds tracking the cannabis industry.