Compliance

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.

It’s a common practice but a dangerous one.

One expert suggests the SEC could develop a new system to evaluate firms' conflicts, assigning scores similar to those from Consumer Reports.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

In the wake of the DoL fiduciary rule, documenting client profiles and recommendations boosts compliance.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.

Integration, scalability and service model are key to selecting a vendor.