Regulation

The advisor agreed to a lifetime bar from the industry after a hacker who impersonated a client persuaded him to illegally transfer $160,000 of client funds.

Holding special events and activities for clients can strengthen relationships with wealthy individuals in your business, as long as advisors keep within compliance.

The Obama administration on Tuesday finalized new regulations designed to crack down on high-cost loans to members of the military.

The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen.

An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention."

A new study breaks down the compliance challenges advisors are most worried about and what they're doing about it.

A senior Labor Department official says his team is amenable to tweaks in the proposed rules so long as the fiduciary relationship is formalized with the client.

Regulators say that as threats continue to mount, they are expecting more formal policies and procedures from the firms they examine.

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.