Regulation

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.

Although FINRA cannot investigate potential wrongdoing by these former employees, state regulators are expected to do so.

The IBD’s corporate RIA didn’t require about 350 banks to provide clients the terms of its arrangement.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.

Under the proposed structure, the funds will conceal a portion of their assets and instead publish a list of securities that’s highly correlated to the performance of the portfolio.

Deciding what does or doesn’t constitute a “material change” can be a tough call.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.

The regulator’s move follows a Financial Planning investigation into whistleblowing by former JPMorgan financial advisor Johnny Burris.