Regulation

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

A petition to vacate the award was denied by a federal judge.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Reg BI would boost sales because the products fill a pressing need for income over long lifespans, the executives say.