Regulation

Most clients, even educated, wealthy ones, frequently have no idea how their advisor is paid.

Readers asked if a branch manager is allowed to telecommute. Alan J. Foxman has the answer.

With FINRA likely to impose some kind of compensation disclosure rule this year, advisors need to think about how best to explain how they get paid to their clients.

With hedge fund advertising on the way, the impact on the industry and advisors remains unknown.

The CFP Board plans to show off new ads for its extended Let's Make a Plan publicity campaign.

FSI President and CEO Dale Brown would rather see a consultative approach from the regulators on minor missteps, or what he calls the "administrative foot faults."

Bankers think the regulatory environment is bad already, but it could get worse as regulators crack down harder on rules violators, hold directors and foreign banks to stricter standards and tackle "too big to fail," a top banking lawyer says.

Both regulators have identified rollovers as a priority for their 2014 examinations, putting brokers and advisors on notice that they plan to scrutinize how they are working with clients who are planning for retirement.

As waves of baby boomers head into retirement, state and federal regulators expect to take a hard look at the programs firms have in place to ensure they are selling elderly investors appropriate financial instruments.

The head of the U.S. Treasury Department’s financial research arm defended a report on asset managers that was criticized by the industry as flawed and inadequate.