Sanjay Valvani was one of four people accused of insider trading and reaping more than $32 million from trades in drug companies using secret tips, according to federal prosecutors.

How investors' fear of stock market turmoil may be shaping the future of certain ETFs.

In contentious Senate testimony, White fended off accusations that the regulatory body has dragged its feet. Again, she did not offer a timeline for implementing a fiduciary rule from the SEC.

Robert Cook, an attorney and former SEC director, will have to help the regulator navigate complicated matters , from calls for an industrywide fiduciary standard to heightened congressional scrutiny.

Some advisers may think the regulations won’t affect them. Here’s why they’re wrong.

Worthy ideas debated on the fiduciary rule, retirement prep and annuities.

“There are so many business models offering financial advice, it’s almost impossible for a layperson to distinguish between advice and sales,” a panelist says.

Perspectives on the state of asset management from industry leaders and experts.

The firm allegedly settled a dispute with two customers on the condition that they would not oppose efforts to expunge the details of the dispute from the Central Registration Depository system.

Robert W. Cook will replace Richard Ketchum, who announced his retirement last year.

The firm, which acted as a custodian for a defunct RIA, allegedly failed to make material disclosures to clients regarding their accounts.

The group aims to provide planners with new technology focused on helping a firm become compliant, but it may cost them.

With retirement accounts being affected by the upcoming fiduciary rule, many advisers aren’t sure what their first step should be.

One recommendation takes aim at the home loan tax deduction — in some cases.

A recent agency memorandum cited several legal cases to back up its opinion.

The regulator says that it issued a notice in 2009 to broker-dealers regarding the risks and complexities of nontraditional ETFs. FINRA says Oppenheimer failed to implement these policies.

The regulator cited security oversights that led to the theft of thousands of customer accounts.

The nontraded REIT industry moved to introduce a new share class following tighter regulations.

The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.

The regulator also says that the firm suffered from supervisory failures during a four-year period.