Regulation

“We are not delaying and we are not changing the standard,” Chairwoman Susan John says of pressure to weaken the board’s tougher guidelines in line with the SEC’s Reg BI.

It's the first significant regulatory filing requirement for RIAs in more than a decade.

A PKS rep allegedly sold $190 million worth of non-traded REITs and BDCs without disclosing the commissions.

Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.

The No. 1 independent broker-dealer failed to properly register more than 650 reps as agents, the prominent state regulator says.

Think New Jersey’s proposed rule doesn’t apply to you? Think again.

The SEC predictably came up with regulations that can only be described as a win for brokers.

The SEC clarifies what's permissible under the new regulations, the latest sign of the confusion it created in the advisory industry.

Unconflicted enforcement of the new code requires monetary investment from certificants.

Think social media and T-shirts: RIAs should swap “fee only” for “commission free” to draw a stark contrast between themselves and brokers, experts say.