The bank will pay $1.25 million for alleged supervisory failures.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

The commission warns practices to tighten up supervision and ensure accurate disclosures.

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

The bank has been slashing expenses, but executives acknowledged they remain high. Between having to hire thousands of compliance employees and waiting on the next CEO to be named, investments in new technology or other long-term growth are limited.

The group cited "confusion" among certified planners sparked by passage of the SEC's less-strict Regulation Best Interest.

Overall donations to charity organizations fell by 1.7%, while total individual giving decreased by 1.1%, the first drop since 2013.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.

If passed, non-spouse heirs would be required to drain assets within 10 years after the owner’s death.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

Critical comments about Wall Street in the first debates signal an unfriendly political environment. Here are some leading candidates’ financial policy views.

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.