Broker dealers

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

Simple solutions may be a better alternative to customization, says the company's CEO.

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

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

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

The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.