Sept. 25: Changes the DoL regulation has inspired — particularly in the mutual fund industry — are moving ahead, albeit slowly.

Getting to know clients’ children will help advisors hone their services and keep their businesses thriving while retirement withdrawals chip away at AUM.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

Derek Burke discussed the Advisor Group firm’s upcoming digital offering and his top priorities.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

The advisor allegedly tried to help keep a penny stock's price above $2 per share, amassing nearly 630,000 shares himself.

Moves by Nevada and others threaten to create compliance confusion.

Nearly 17 million investors will use the technology by 2021, a rise of 1.8 million compared to last year, Aite says.

A different regulatory landscape is encouraging brokers to reconsider their options.

The broker recommended that a recently retired couple invest $135,000 in a non-investment grade municipal bond intended only for sale to institutional buyers.

Clients could face a 100% penalty of taxes owed for filing late.

How to stay out of trouble if a customer praises your investing prowess on your site.

Mounting regulatory concerns and technology pressures have left advisors looking for outside help, new research shows.

These turbulent times of regulatory upheaval have raised the existential question of how to adapt and protect profitability.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

OCIE puts advisors on notice about widespread use of misleading claims and failures of disclosure.

SunTrust Investment Services collected more than $1.1 million in avoidable 12b-1 mutual fund fees from more than 4,500 accounts, the SEC charged.

Are HSAs here to stay? One advisor’s prediction.

“We’ve been very focused on opening every drawer and turning over every rock in the company,” CEO Tim Sloan said.