Regulation

The group cited "confusion" among certified planners sparked by passage of the SEC's less-strict Regulation Best Interest.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.

A new report asks whether the products have the potential to spark another crisis despite being created at the urging of the SEC to reduce risk.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

The suggestion comes amid opposition from brokerage firms to an expanded fiduciary obligation.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Most clients don’t give a hoot about fiduciary and best interest standards.

Dennis Gibb used client funds to pay for his own business and personal expenses, such as mortgage and car payments.