Compliance

The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

If rule isn’t scaled back, the lower tier of advisers has a rough road ahead. Their “future isn’t what it was in the past.”

It’s not just about consumer advocates and advisers; there’s another side to the issue that’s not getting the attention it deserves.

The firm lowered its online retail trade commission from $6.95 to $4.95 about 10 hours after Fidelity announced similar reductions.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The Northern Lights funds exclude companies that clash with their religious wrappers.

Morgan Stanley is in “advanced discussions” with the IRS to resolve any client tax underpayments, according to an SEC filing.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.

Andy Sieg, head of the firm, says that "operational changes" are possible if the rule is delayed or overturned.