Regulation

Hedge funds and private-equity firms have created bogus service providers to boost fees they charge to portfolio companies and investors, SEC Chair Mary Jo White will tell lawmakers in Washington today.

FINRA is moving to toughen reporting requirements for BrokerCheck, following revelations that hundreds of registered advisors have failed to publicly disclose personal bankruptcies, criminal charges and other potentially damaging information.

In a court filing, the CFP Board says it has logged more than 2,000 hours of legal work in a lawsuit by two Florida planners.

The IRS has released the 2015 inflation-adjusted deduction limitations for annual contributions to a health savings account.

Independent planners can not win a battle against Wall Street unless they find a way to defeat well-funded lobbyists in the industry.

Advisory firms need to have a solid process in place for archiving and monitoring social media use before they jump into the social arena.

Paul Volcker hasn’t endeared himself to Wall Street bond dealers. That’s just fine with Fidelity Investments.

Two former brokers with U.S. Bancorp Investments and HSBC Securities were banned from the industry for trying to cheat their customers.

Legal expert Alan J. Foxman offers advisors advice on how to navigate the compliance issues when a divorce threatens to leave a stain on a broker's record.

"There's a lot of nuance that's not reflected in simply listing personal bankruptcy," says Mark Witaschek, whose bankruptcy was cited in a board announcement.