Compliance

The advisor allegedly solicited and received loans totaling $56,000 from two customers in violation of the firms' policies.

Regulatory approval of Eaton Vance's non-transparent ETF has its industry competitors closely studying its offering to determine how its proposal succeeded where others failed, and whether they need to develop and offer their own version.

The CFP Board’s first computer-based exam attracted over 2,100 applicants.

The National Adjudicatory Council upheld an earlier ruling finding Wedbush liable for failure to file accurate and on-time reports of customer complaints and broker registrations.

Former Convergent Chairman Steve Lockshin offers his take on events and issues surrounding the suicide of his friend, ex-Convergent CEO David Zier.

Two advisors have been hit with fraud charges for allegedly misleading clients about a hedge fund managed by an investment novice and debt collector.

A trio of top custodial executives discussing big trends for the RIA sector downplayed the term -- at least as a marketing advantage -- during a panel this week at the MarketCounsel summit in Las Vegas.

Wealth managers called into active duty have a delicate balancing act between serving firm and country.

Fund managers need to focus on more than the strategies they intend to execute. They must also structure their funds and organizations in ways that address both increasing regulation and investors' concerns about the safekeeping of assets.

The three founders of Concord Equity Group Advisors, a firm LPL bought in 2011 after the RIA allegedly hid commissions from its institutional clients, settled with the SEC.

Concerns about an over-proliferation of ETFs, curiosity regarding how market demand will shape product innovation and questions about the direction of regulation are expected to punctuate discussions among those attending the 19th annual IMN global Indexing and ETF Conference in Scottsdale, Ariz., that begins on Dec. 7.

An ex-Ameriprise franchise advisor was fined and suspended by FINRA for allegedly copying and pasting client signatures onto documents.

Supplying Chinese equity demand is not a simple process of deciding to launch an ETF product, providers say. There are a number of operational challenges that a firm must navigate to make the offering available, including managing a complex system of global exchange that involves precise timings and potential risks for clients.

Members of the Financial Planning Coalition fire back at lawmakers' call for the SEC to shuffle existing resources and tap a third party to increase examinations of advisors.

FINRA's CARDS proposal and the DoL's proposed fiduciary standard are cited as potential threats to the industry and investors.

Legal experts explain what made an advisor's arbitration victory against Morgan Stanley an unusual victory.

"He confessed that he had never invested my money. ... He had been lying to me all along," alleges a relative of the ex-advisor named in an SEC complaint.

ARCP filed the suit after RCS didn't complete an agreed purchase of shares in Cole Capital Partners and Cole Capital Advisors.

At a roundtable with federal and state regulators in Los Angeles this week, bankers offered some fresh ideas about possible regulatory relief. Here is a sampling.

A FINRA arbitration panel found Morgan Stanley liable for "causing humiliation" when terminating an advisor's employment at the wirehouse.