Compliance

Make sure not to confuse it with the SEC’s self-reporting program.

It’s been a long tail for the firm that began with the 2016 revelation that employees had opened millions of fake accounts to meet sales goals.

FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.

The SEC examined approximately 2,180 RIAs in 2019.

SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.

From closed-end funds to Reg BI, here's what could be playing out this year.

The top brass being unaware of this stuff happening on their watch doesn’t inspire confidence.

These shortcomings were primarily due to “systemic, longstanding, governance-level weaknesses,” a new report says.

"I don't mean to ruin your holidays, but ... " Regulators and industry insiders caution against delaying compliance efforts as the June deadline approaches.

While these 20 dizzying changes will throw some for a loop, financial advisors and their clients grow more powerful each year.