An advisor involved in firm's arbitration hopes a customer will agree to a deletion of the record of complaint from their CRD report. But that may violate FINRA rules. Here's how.

An arbitration panel found that a client's complaint about a former wirehouse advisor was "factually impossible or clearly erroneous."

In a surprise move on Wednesday, the company went public with its plans to prepare its advisors and financial institutions for the coming regulatory changes.

The broad-based price reductions could force other IBDs out of business, one expert thinks.

Only time will tell if institutions that have been proactive fare best.

During questioning by Sen. Warren, FINRA CEO Richard Ketchum said the regulator may set up a new fund for "terribly harmed" investors.

The head of Wall Street's chief regulator doesn't see "why a best interest standard shouldn't apply across all products and all activities."

Research firm Cerulli Associates anticipates "unexpected changes" in the retirement space as a result of the Labor Department's proposed rule.

Daunted by the increasing complexity of regulatory and technology demands, asset managers say they are turning to outsourced help, or at least are considering offloading administrative responsibilities.

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

AIG affiliates were fined by a U.S. regulator for charging customers higher fees in mutual fund sales.

Voices: For smaller B-Ds, there will likely be an added cost of obtaining an unbiased assessment of the consistency, accuracy and suitability of their robo tools.

A new FINRA report warns firms they should be ready for reviews on their use of digital investment advice tools.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.

The new retirement platform will support advisors who are transitioning to the fiduciary model.

The industry's leading lobbying group, SIFMA, says that the Labor Department's fiduciary proposal would result in a messy regulatory framework that could spur the SEC to restore order to the chaos.

Voices: Advisors may regret delaying their preparation for the new regulation.

All advisors should familiarize themselves with the rule's likely changes to ERISA.

A fundamental role in the securities business is changing — and there’s no going back.