Compliance

Advisory firms need to have a solid process in place for archiving and monitoring social media use before they jump into the social arena.

Paul Volcker hasn’t endeared himself to Wall Street bond dealers. That’s just fine with Fidelity Investments.

Two former brokers with U.S. Bancorp Investments and HSBC Securities were banned from the industry for trying to cheat their customers.

Legal expert Alan J. Foxman offers advisors advice on how to navigate the compliance issues when a divorce threatens to leave a stain on a broker's record.

"There's a lot of nuance that's not reflected in simply listing personal bankruptcy," says Mark Witaschek, whose bankruptcy was cited in a board announcement.

The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed, a proposal that may address complaints that the decisions are sometimes made against the client’s best interests.

New York Attorney General Eric Schneiderman sent subpoenas to six high-frequency trading firms seeking information about special arrangements they have with exchanges and dark pools as well as their trading strategies, according to a person familiar with the matter.

The broker-dealer was censured and fined for selling unsuitable exchange-traded funds to customers.

John Taft, CEO of RBC Wealth Management-U.S., shares his insight on upcoming regulatory changes, an ever-more complex marketplace and leadership.

The Office of the Comptroller of the Currency is likely to make changes to its proposal outlining the "heightened expectations" the largest banks must face after the industry raised concerns that certain provisions could backfire.

Three advisors for San Diego-based Total Wealth Management -- including one who apparently once worked for the FBI -- now face SEC charges for allegedly paying themselves concealed revenue-sharing fees from investments they recommended to clients.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

Two former executives of Sonoma Valley Bank have been indicted for their alleged involvement in a $9.5 million fraud scheme.

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

This new social media platform allows users to submit short stories rather than 140-character Tweets or short Facebook posts. But should advisors care?

Using these two simple techniques, one firm acquired over 100 new clients through social media last year.

FINRA is examining whether Wall Street firms overcharge investors on some bond trades and whether they unfairly allocate new corporate debt issues to reward certain clients.

The House Committee on Small Business held a hearing to discuss the biggest tax problems for small businesses.

A new study, backed by the industry, says the DoL's new rules could leave millions of workers without retirement advice.

UBS was ordered to pay a former broker at least $5.3 million in damages and fees after he said that the bank misled him about the risks of securities issued by Lehman Brothers Holdings.