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.

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.