Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Here's what advisors need to know as the agency continues remote exams.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

Organizations and firms are donating N95 masks, providing resources at no cost and taking steps to protect employees and practices nationwide from the spreading pandemic.

FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.

These direct payments are intended to provide direct assistance to American taxpayers who have lost wages, jobs or opportunities because of COVID-19. But there is some fine print.

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.