Regulation

Derek Burke discussed the Advisor Group firm’s upcoming digital offering and his top priorities.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

Moves by Nevada and others threaten to create compliance confusion.

A different regulatory landscape is encouraging brokers to reconsider their options.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

How to stay out of trouble if a customer praises your investing prowess on your site.

Mounting regulatory concerns and technology pressures have left advisors looking for outside help, new research shows.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.