The WilmerHale partner discussed Regulation Best Interest, fraud detection and other industry compliance issues.

Under the 2017 Tax Cuts and Jobs Act, R&E expenses paid or incurred after 2021 must be capitalized and amortized over five years (15 years if research is performed overseas).

The head of the regulator pledged vigorous enforcement of the controversial rule.

The regulator recommends a close look at factors that prompt brokers to restrict customer trading, video-game-like features popularized by online trading platforms, short-selling and payment for order flow.

Commissioner Hester Peirce and CEO Robert Cook spoke amid a growing debate surrounding digital assets and their underlying technology.

The grand jury indictment and a new filing by the SEC offer additional details on the case.

Financial advisors have a variety of objectives in working with their investment-planning clients. But when all is said and done, clients are usually mainly interested in a successful road map to growing and protecting their wealth to and through retirement.

The U.S. may join Canada and Europe, which have already approved similar products.

A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.

In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.

Rohit Chopra, a liberal consumer watchdog, was approved as the agency’s director nine months after the Biden administration first announced him as the nominee.

While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.

A new report from PIABA says independent advisors are as bad as brokers when it comes to cheating investors and paying awards.

Higher internal expenses in mutual fund share classes came with much lower overall advisory fees in wrap accounts, the firm argues.

A lack of uniform classifications and an identity crisis at the heart of the fragmented industry makes it a thorny task.

Some of the industry's largest firms and toughest critics weighed in on the vexing fragmentation that’s growing alongside the trillions in AUM.

Form CRS was supposed to clear things up, but it’s made things worse, a fiduciary critic says.

Doug Elstun catered to NBA and NFL sports stars, many of whom may not have known about his confidential client settlements outside of FINRA.

An in-depth look at the provisions being considered for the new legislation.

The market will separate out those who best take care of their customers.