Regulation

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.

A manager of an errant broker finds himself the target of regulators and asks our compliance columnist: What could I have done differently?

In 2015, FINRA slammed offenders with $46.3 million in sanctions for suitability-related infractions, nearly six times the $7.9 million it imposed in 2014.

The service shares the 12 most egregious tax scams of the year.