Compliance

The self-regulatory organization acted out of concern for the client who might not be aware of the important factors relating to moving their assets with an advisor switching firms.

Having good digital solutions can help advisors and clients deal with upcoming regulation, says a top Ladenburg Thalmann executive.

As of May 2, CFPs will lose the right to sue the board.

The wirehouse was seeking to resolve class-action lawsuit alleging labor-law violations in advisor trainee program.

Unscrupulous advisors are finding safe havens, and fear no regulatory body.

Raymond James is seeking to undo a fired advisor's arbitration win against the firm, arguing that a FINRA arbitration panel exceeded its powers.

The research firm says its new rating will be a tool to help investors verify that funds invest according to socially conscious principles.

Independent robo providers still have a chance to survive and reach sustainability, thanks to an expected flood of smaller accounts being shed as a result of the rule.

SEC Chairwoman tells lawmakers that a uniform fiduciary proposal is advancing and appeals for a funding increase that would be used to beef up advisor exams.

Implementing the rule is a key legacy goal of the Obama administration.

Although an arbitration panel sided against the wirehouse, it awarded her far less than the $476 million in damages she had sought.

The timeframe for implementing the rule is unrealistic under the original proposal, according to the general counsel for SIFMA, an industry trade and lobby group.

An advisor involved in firm's arbitration hopes a customer will agree to a deletion of the record of complaint from their CRD report. But that may violate FINRA rules. Here's how.

An arbitration panel found that a client's complaint about a former wirehouse advisor was "factually impossible or clearly erroneous."

The broad-based price reductions could force other IBDs out of business, one expert thinks.

Only time will tell if institutions that have been proactive fare best.

During questioning by Sen. Warren, FINRA CEO Richard Ketchum said the regulator may set up a new fund for "terribly harmed" investors.

The head of Wall Street's chief regulator doesn't see "why a best interest standard shouldn't apply across all products and all activities."

Research firm Cerulli Associates anticipates "unexpected changes" in the retirement space as a result of the Labor Department's proposed rule.

Daunted by the increasing complexity of regulatory and technology demands, asset managers say they are turning to outsourced help, or at least are considering offloading administrative responsibilities.