Regulation

The delay does not “indicate that the commission has reached any conclusions,” the regulator said.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

The rule requires greater public input, an industry trade group says.

The regulator and one of its largest members, LPL Financial, engaged in a back-and-forth on the controversial initiative.

The decision comes a decade after the collapse of the infamous scheme.

When the board's new Code and Standards take effect in October, fee-only advisors will be expected to step up their compliance operations.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Christopher Dougherty’s proferred investments allegedly included real estate properties and a 100-acre organic farm.

The bank allegedly helped French clients evade taxes.