Compliance reviews

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Other states are likely to enter similar agreements with the broker-dealer.

The New York president questions legality of national chapter's use of local chapter funds for annual forum.

"I still feel like NAPFA is one of the best kept secrets in the planning world and we want to change that," NAPFA CEO Geoffrey Brown says.

"Vitriol" and "vileness" lead FPA national to take unprecedented "nuclear option" against New York chapter

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

While some are mainstays, there are a few new ones to add to the list this year.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

The firm’s former COO is accused of destroying a copy of the culture report.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.