Regulation

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Regulator puts brokers on notice about its top concerns for 2019.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

Financial advisors and their firms are providing zero-interest loans, free counseling and fresh ideas for some 800,000 federal workers going without pay.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

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.