The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.

Advisors may need to alert clients as to when these checks will be taxable.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.

Due to a 2010 FINRA rule change the answer is — with difficulty.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

The insurgents won seats allotted to represent small and large firms.

To stand apart from broker-dealers, advisors may not need tougher rules, but smarter marketing.

IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.

Brokerage shops get to weigh in later this month on challengers promising reforms at the industry regulator.

The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.

The panel has had 13 public meetings since the Massachusetts senator’s last appearance, in May.