The regulator has charged about 100 other wealth managers with failing to explain 12b-1 fees tied to their mutual fund recommendations.

The organization overseeing the most prominent planning certification answers critics who say it’s falling short of its mission.

Raymond James resolved a million-dollar arbitration claim that won’t appear on anyone’s BrokerCheck, thanks to the panel’s decision.

A shareholder advocacy group found that a startling number of funds fail to adhere closely to their environmental, social and governance principles.

The combination of technology and rising client interest in digital assets are ratcheting up the risks to investors, according to NASAA.

The wirehouse reached an agreement with an SEC-appointed receiver and a state regulator in connection with a massive EB-5 investment scheme.

While the giant wealth manager has won the balance of 23 decisions so far, it’s facing a wave of cases seeking hundreds of millions in damages.

The midsize wealth manager racked up millions of dollars in sales of an alternative product without adequate due diligence, according to FINRA.

Like their cryptocurrency cousins, non-fungible tokens are generating market interest, and tax confusion.

A self-reporting program on 529 plan share classes yielded five more settlements, and wealth managers agreed to pay a combined $15 million.

A committee says summaries provided by firms are full of jargon and readability issues. But fiduciary and plain-language experts say Form CRS itself needs an overhaul.

Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.

The firm will pay restitution and fines to settle allegations that it failed to flag more than 100 client accounts for overconcentration in high-yield bonds.

The firm faces an additional penalty after it didn’t participate in the regulator’s self-reporting initiative.

Hester Peirce will become the only GOP commissioner at the agency.

'Planning has been put on hold, because no one knows what the rules of the game are,' says one accounting firm partner.

The regulator’s frequent reviews display shortcomings in three different areas, according to a new GAO report.

JPMorgan Chase executives were supposed to make sure employee communications were archived for regulatory scrutiny. But for years, even the bosses were using their mobile phones to tap out work-related messages — a practice so pervasive that U.S. authorities dropped the hammer Friday, imposing $200 million in fines.

Advocacy clinics at law schools can help protect vulnerable clients, but only if they're well-funded and widely distributed.

The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.