Regulation

Without advisor buy-in, scale can't be achieved, the tech executive says.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

While seeking input on how to better nationally integrate operations, the FPA has scrapped the idea of wrapping all chapters into a single legal entity — for now.