Compliance

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

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

When your client is a foreign national, it pays to find out if the same regulations apply.

The Justice Department disclosed a felony probe the day before the broker’s termination.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

David Olson, an advisor of nearly 30 years, worked at Morgan Stanley until his termination in 2016.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.