Compliance

The products have grown in popularity after undergoing significant changes in recent years.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

How often should CCOs pay a visit to branch offices?

An unregistered advisor with little investing experience raised $1.4 million from family and friends and then squandered the money on bad investments, federal prosecutors say.

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.

“The broker-dealer world has tried to hang their hat on suitability, and if you close your eyes a little and squint, they almost look like fiduciaries — but not really,” one advisor says.

If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.

It appears the regulator bought into the investor choice argument of sales reps right from the beginning.

The claim alleged negligence, fraud and misrepresentation, according to the regulator.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

The payout brings the distribution to more than $1.2 billion, a fraction of the more than $50 billion scam.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

When your client is a foreign national, it pays to find out if the same regulations apply.

The Justice Department disclosed a felony probe the day before the broker’s termination.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

David Olson, an advisor of nearly 30 years, worked at Morgan Stanley until his termination in 2016.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.