Regulation

Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.

Given that I must disclose on my Form ADV that we accepted the aid, I had to ask myself difficult questions about possibly over-zealous regulatory scrutiny as well as my firm's reputation, this advisor writes.

Despite recent upheaval, some clients will still be shocked their portfolios have shown declines.

The firm allegedly provided some clients with misleading information about which charges they were actually paying for.

“This is all about having the flexibility and having multiple options for our investors,” says GSAM’s head of ETF strategy.

For clients fortunate enough to not need them, minimum distributions are not required this year in most — if not all — cases.

The hackers claim to be officers from the regulatory agency who have documents requiring immediate attention.

Standard General accused Tusk Strategies of “blanketing the media with false and misleading proxy materials” on behalf of a “secret client.”

Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.

Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.