Regulation

The board offered individual counsel to NAPFA members in violation of board rules, an ongoing conflict without imminent resolution.

Democratic lawmakers on the Senate Banking Committee sounded off against bipartisan legislation to overhaul the mortgage finance system on Thursday, opposition that likely all but ruins the bill's chances of making it to the chamber floor this year.

Social media isn't verboten, but it's crucial that planners know the rules.

The House Ways and Means Committee may have broken the law when it publicly disclosed confidential taxpayer information in a letter to Attorney General Eric Holder.

Judge tells board to produce documents, denies Camardas their request for sanctions; CFP Board sends documents to plaintiffs.

Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.

Barclays Plc, Credit Suisse Group and UBS will face questions this week about key banker departures, legal challenges and their efforts to boost profitability.

The advisor appealed FINRA's decision to suspend him for 90 days after the regulator extended the original 10-day suspension. Now, he's appealing his case to the SEC.

SEC Chairman Mary Jo White also lamented the commission's inadequate oversight of the RIA sector amid limited resources and an understaffed team of examiners, telling lawmakers she hopes to expand the examination staff through a $1.7 billion appropriation.

Bank of America's discovery that it submitted incorrect information to the Federal Reserve Board during its recent stress test could undermine what has already become an overly complex exercise.