Regulation

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.

Due to a 2010 FINRA rule change the answer is — with difficulty.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

Some see a potential cure in a practice that’s commonplace from Italy to the U.K., but banned in the U.S.