Law and regulation

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.

Mutual and hedge fund managers dodged the toughest provisions of newly proposed U.S. pay rules designed to discourage excessive risk-taking on Wall Street.

The wealth management division of Morgan Stanley is developing a program with a focus on goal-based planning instead of budgeting and debt management.

The Fed’s quarter-point rate increase is proving a boon to custody banks.

The advisor was banished for refusing to cooperate with a FINRA investigation into wire activity in the advisor's bank account.

Firms' cyber defenses are in SEC's crosshairs, and the commission is looking to tap an outside group to help police the RIA sector.

Voices: Even independent advisors have some adjustments to make. Here are some of the most important, according to managing director of TD Ameritrade Institutional.

Expanded scope for litigation is a cause for concern among wealth management firms, experts say.

The rule could "very much professionalize an industry that very much needs it," says Robert Johnson, president of the planning school.