The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

The suggestion comes amid opposition from brokerage firms to an expanded fiduciary obligation.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Most clients don’t give a hoot about fiduciary and best interest standards.

Guiding them through the fine print of narrow networks, deductibles and copays could become a key differentiator.

Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.

Should the board use 1% of its budget for its own oversight? A former board chairman responds to this proposal.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

“We are not delaying and we are not changing the standard,” Chairwoman Susan John says of pressure to weaken the board’s tougher guidelines in line with the SEC’s Reg BI.

It's the first significant regulatory filing requirement for RIAs in more than a decade.

A PKS rep allegedly sold $190 million worth of non-traded REITs and BDCs without disclosing the commissions.

Officials hope to peg capital gains to inflation before the president faces reelection.

Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.

The No. 1 independent broker-dealer failed to properly register more than 650 reps as agents, the prominent state regulator says.

Under new rules, small business owners can offer their workers tax-free dollars to buy health coverage.

Think New Jersey’s proposed rule doesn’t apply to you? Think again.

The SEC predictably came up with regulations that can only be described as a win for brokers.

The SEC clarifies what's permissible under the new regulations, the latest sign of the confusion it created in the advisory industry.

Three-in-four clients say their advisor’s professional certifications are important to them. But that doesn’t mean they have any idea what they are.