Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.

The Internal Revenue Service is postponing the date for filing gift tax and generation-skipping transfer tax returns and making payments until July 15 because of the novel coronavirus pandemic.

Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.

The policy change may prompt more defendants to reach settlements, an attorney says.

To hear some regulators tell it, “commission” is code for churning — but the fee-based vogue gives rise to reverse charges, writes Mark Elzweig.

We've had many chances to learn, from the dot-com bust to the 2008 financial crisis. But the storm is perhaps most applicable to our current situation.

The advisor had been previously arrested at the airport prior to boarding a flight.

Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.

Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.

Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?

After resigning last year under pressure from federal policymakers, the former executive received no severance benefits or annual incentive award.

Convenience accounts, power of attorney, trusts: The benefits and drawbacks are legion. Here's a guide.

Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.

The bank says it has decided to “effectively eliminate the net leverage” of its MLP Income Opportunities Fund and MLP and Energy Renaissance Fund.

The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.

Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.

Restoring fee-model disclosures to its website is just the first step in correcting the organization’s “monumental failure,” according to fiduciary watchdog Ron Rhoades.

The decision does not diminish the board's conviction that consumers have a right to know how they are paying for products and services, writes the former board chairwoman.

"If rules are too broad or vague, we may end up circumscribing conduct that we never intended to capture,” Commissioner Allison Herren Lee said.

“The only reason why I could see them doing that is shame,” one critic says of the move; the board calls it an important shift in the conversation about fiduciary care.