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.

Unconflicted enforcement of the new code requires monetary investment from certificants.

Think social media and T-shirts: RIAs should swap “fee only” for “commission free” to draw a stark contrast between themselves and brokers, experts say.

Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.

The penalties come three months after Merrill Lynch settled similar charges.

The state regulator says its proposal is necessary after the commission failed to craft a uniform fiduciary standard.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

There's a lot to navigate when it comes to assuring clients that the benefits outweigh the headaches.

The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.