Regulation

The advisor also beat back Wells Fargo's $200,000 in claims for breach of promissory note.

As a repository like Microsoft SharePoint grows, the firm's best content gets dumped in with all the rest - the good, the bad, and the ugly.

BlackRock issued and sold more shares than it was authorized to in its iShares Gold Trust, which could lead to penalties by regulators.

The domestic planning component of advising is likely to be increasingly regulated, and firms should use this to their advantage, Glenn G. Kautt says.

Advisors' biggest concern is that converting to a fee-based model will lead to a drop in income. But it doesn't have to be that way.

The commission also settled related charges against First Southwest, a financial advisor, for failing to document its advisory relationship with the agency for seven months.

The rep was reprimanded for allegedly failing to disclose her business involvement with a kitchen-cabinet installation company in Florida.

FINRA's BrokerCheck shows that 7% of advisors were disciplined for misconduct, including putting clients in unsuitable investments and trading on client accounts without permission, a new study says.

With a proliferation of mobile devices, developers are offering tools that keep compliant records of all types of digital communications.

ETFs may be so complex and subject to such volatility that they require a distinct set of rules from equities, suggested SEC Commissioner Kara Stein.