Wild price swings that have exceeded double-digit percentages in a single day have spurred the regulator to keep a close eye on volatility.

The IBD’s corporate RIA didn’t require about 350 banks to provide clients the terms of its arrangement.

Despite raised thresholds, advisors can still find big itemization opportunities if they know where to look.

Charlie Scharf’s most immediate priorities include mending fences with regulators and getting the bank out from under a Fed-imposed asset cap.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.

Deciding what does or doesn’t constitute a “material change” can be a tough call.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

The firm has argued that a demand for emails and other records by the agency earlier this year was unduly burdensome.

The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.

The regulator’s move follows a Financial Planning investigation into whistleblowing by former JPMorgan financial advisor Johnny Burris.

Alternative compensation structures may provide more consumer protection, and drive higher client satisfaction.

The demands come following a Financial Planning investigation revealing how JPMorgan’s Chase Private Client group used false evidence to get rid of an advisor.

NASAA’s annual survey of regulators sheds light on legal proceedings against BDs, RIAs and unregistered firms that often go unnoticed in the wider industry.

The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.

They’re grinding forward with changes, even as complicating factors emerge ahead of when the rule takes effect next year.

Trading venues have clubbed together to attack the latest European effort to curb what they charge clients for data.

After an investigation into the self-disclosure of regulatory incidents, the board is looking to strengthen the review process and clear up public confusion.

Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.

Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.