Gregory Estes was convicted by a jury in the state court of San Angelo, Texas, following "an intense eight-day trial," according to a local news report.

New requirement calls on firms to report hacks within four days of deciding that the attacks are of material interest to shareholders.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

From top brokers and broker pay to succession planning, advising for Medicare, ChatGPT and our coverage of the independent space, these are the biggest stories FP published in the last year.

The new deduction rates apply to electric and hybrid vehicles, as well.

One side hurled accusations of "scare tactics." The other complained of "regulatory overkill." On Day 1, the debate over a new retirement regulation got off to a dramatic start.

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

The testifying group includes the CFP Board, AARP, the Insured Retirement Institute, the Financial Services Institute, several academics and financial advisors.

The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.

A public hearing on the "retirement security rule" is set for next week as opponents call for more time and express concern about the potential impact.