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.

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

Even though MiFID II doesn't go into effect until Jan. 3, executives have complained they still lack clarity about its rules.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Advocates call for the commission to address investor confusion.

Sept. 11: Managers have been told to prepare for spending more on research and trading services they get from banks.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.