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.

Those who fail to meet the cutoff face a hefty penalty that could hit as much as 25% of their dues.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.

Former retail brokerage head David Kowach is moving to the consumer bank.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.