Compliance reviews

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.