Regulation

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Advisers need to plan their nonprofit work as carefully as the rest of their business.

How should banks approach the challenges ahead? Consultant Peter Bielan talks with Editor Lee Conrad.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.

"You're going to turn around," a federal judge instructed advisor Charles Banks, "and you're going to talk to all these people that you have caused pain for, face to face."

Concerns with the fiduciary rule, compensation and leadership pushed down satisfaction ratings.

The agency's staff has recommended filing an enforcement action against two Barclays bankers, according to records filed with FINRA.