Regulation

How the new regulation will affect a planner’s advice.

Critics say the regulation's costs and hurdles will hurt advisers. But there's another side to the story.

The brokerage firm processed a number of securities transactions that facilitated conversions of foreign currency from or into U.S. dollars, FINRA claimed.

The adviser had been employed with the firm for seven years prior to her dismissal, and had no disclosures on her BrokerCheck record.

Charles J. Dushek allegedly made trades without designating in advance whether he was trading personal money or client assets.

The industry's trajectory is being permanently altered. Here's why.

The regulator said "significant deficiencies" affected hundreds of millions of records.

The firm was accused of using transactions with an affiliate to reduce the amount it was required to keep in its customer reserve account.

With cybercrime an increasing threat to small financial firms, it’s important to have a comprehensive defensive program in place.

Millions in clients' funds was steered into a sports ticketing business.