Compliance

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

FINRA Rule 3210 typically requires permission for brokerage accounts.

Swiss banks face pressure across Europe, with prosecutors in France, Germany and Italy accusing them of helping clients hide money from tax authorities.

The regulator and one of its largest members, LPL Financial, engaged in a back-and-forth on the controversial initiative.

When the board's new Code and Standards take effect in October, fee-only advisors will be expected to step up their compliance operations.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.