Regulation

Expect an "increasing adversarial relationship between industry and regulators" says MarketCounsel’s Andrew Wels.

A battle has erupted over a breakaway broker accused of breaching her contract with Oppenheimer when she solicited proprietary accounts after jumping to Ameriprise.

Technology can help firms stay in good stead with regulators.

The credibility of the big banks is on the line while regulators face their own test in striking a reasonable balance between being too easy on the banks and unrealistic in their expectations.

It may seem harmless, a client suggests about a plan to sell back an advisor's foreclosed property. Bad idea, says attorney Alan Foxman.

The former rep was barred last week for failing to cooperate with a FINRA investigation into allegations that he swiped $65,000 from a bank customer's account.

Advisors and firms will struggle with multiple and possibly conflicting standards should the Labor Department move forward with its fiduciary proposal, the industry group warned.

Some question whether the CFP’s election of fi360’s Blaine Aikin as 2017 chairman is beneficial or potentially harmful to constituents.

Critics say the new congressional efforts do not adequately address conflicts in the retirement sector, which they say must be eliminated or mitigated, not merely disclosed.

If the SEC's newest rules are enacted, open-end mutual funds and ETFs that invest in municipal securities are likely to become more risk-averse in a variety of ways that have implications for issuers and other investors that perhaps have not been fully considered by executives.