The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.

The Northern Lights funds exclude companies that clash with their religious wrappers.

Use this as an opportunity to target potential clients and address specific niches.

Morgan Stanley is in “advanced discussions” with the IRS to resolve any client tax underpayments, according to an SEC filing.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.

Andy Sieg, head of the firm, says that "operational changes" are possible if the rule is delayed or overturned.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.

The move is good news for money managers looking to tap into emerging stocks and equities in Europe after run-ups in both over the past year.

Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Banks and credit unions scramble to adjust their product choices with a significant 40% of those surveyed developing separate menus for retirement and retail accounts.

Just in case clients are looking to cut few corners, here are some of the most common tax frauds that the agency is ready to pounce upon.

Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.

A Senate bill would provide liability protections for advisors who report suspected abuse of senior clients.

Such wagers can only be settled in Bitcoin, on the BitMEX, which offers the ability to trade certain cryptocurrency derivatives with "up to 100x leverage."

Investors snapped up the metal as a store of value amid concern that the president's fiscal policies will bloat government debt.

Even a well-intentioned compliance manual can draw the ire of regulators.