Compliance reviews

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.

New FINRA guidelines lay out the consequences.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

The move will streamline investigations and standardize sanctions, the regulator says.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

The regulator wants the exam process to be a dialogue with firms and advisers.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.

The SEC released a letter outlining where the most common deficiencies occur.