Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

Clients intending to set up a bank account or mutual fund for their child must consider various provisions.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

One of the major provisions of proposed legislation would require 401(k) plans to offer annuities so participants could create new income streams.

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

The Trump tax cut may have changed the calculus for some couples filing joint returns.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.

The fintech's new products may violate several banking and securities regulations, industry officials say.

The following tips may help clients minimize their liability.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

The fintech did not contact the Securities Investor Protection Corporation to discuss protection for deposits, according to its CEO Stephen Harbeck.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

After Dec. 31, spouses responsible for paying alimony won’t get a tax deduction, due to a change under the Tax Cuts and Jobs Act.