Regulation

A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.

Advisors reported significant growth in assets under management and expect more of the same in the coming months.

Liquidity and valuation are the regulator’s key areas of concern.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

While the ranks of women who hold the certification surged, they still make up only 23% of the pool.

The regulator outlined the top priorities for 2018 examinations.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Known for his advocacy for planning at all income levels, Paré wants the FPA to expand its membership to 24,000 and beyond.

Complaints lodged against the firm through Dec. 15 dropped 18% from the same period of 2016, federal figures show.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.