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.

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

The rule’s impact could be “devastating if independent research ceases or is significantly diminished,” the manager warns.

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

The breach follows other developments that have made offshore planning methods less attractive.

Even those who don’t work for Morgan Stanley could find themselves in a Catch-22.

The rep neglected to tell Wells Fargo that a 97-year-old client had named him as beneficiary and co-executor of her estate.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.