Regulation

"There's going to be a lot more raw data that firms will have to collect," says Paul Soltis, global market manager for fund administration service provider Confluence.

One of the sanctioned advisers has 26 disclosure events listed on his FINRA BrokerCheck record while remaining in good standing with Ameriprise.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

Tibergien: RIA valuations will sink. Seivert: Financing for deals will be just fine.

The regulator proposes new rules to protect aging clients.

The wirehouse agrees to pay a $2.8 million fine after the regulator discovers the bad reporting went on for years.

It's a planner's worst nightmare. Here's what to do when client data is compromised by a cyberattack.

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

Fee-only advisors seek clarification from the DoL on compliance requirements.

Massachusetts Mutual Life Insurance, Pacific Life Insurance and TIAA are among companies that have been pursuing deals to diversify operations and gain market share from publicly traded rivals.