Regulation

Lawmakers want annuities in Americans’ retirement plans in reintroduced legislation.

The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.

A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.

Investor advocates would like to see enforcement provisions, not just incentives.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Clients with a dispute against their advisor are often compelled to pay upfront for arbitration, which is unfair, write attorneys Christine Lazaro and Michael Edmiston.

Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.

Securities and Exchange Commission Chair Gary Gensler doubled down on his calls for more oversight of cryptocurrency trading platforms on Wednesday, offering new insight into his priorities as he seeks to crack down on the digital coin industry. 

Financial advisors have a variety of objectives in working with their investment-planning clients. But when all is said and done, clients are usually mainly interested in a successful road map to growing and protecting their wealth to and through retirement.

In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.