A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

The U.S. senator and a banking group want rules to make it tougher for crypto to be used to launder money and finance terrorism.

Elder financial fraud has skyrocketed in recent years, but research shows that financial professionals can help fight the growing issue.

The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.

Financial advisor Mark J. Dickman had filed his FINRA arbitration case against the firm and officials with Independent Advisor Alliance nearly four years ago.

The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.

There are important nuances to note in the relatively straightforward requirements of the rule.

In one case, an ex-advisor is accused of defrauding clients with disabilities and spending their money on casinos and adult entertainment, among other things.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Such concerns have taken on new importance with recent advances in artificial intelligence tools, which are "the most transformative technology of our time," Securities and Exchange Commission Chair Gary Gensler says.

The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.

An Army financial counselor defrauded loved ones of fallen soldiers for millions of dollars while breaching the rules of his position, federal prosecutors say.

A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

In an 'infinitely rare' move, one member of FINRA's arbitration panel wrote a lengthy dissent noting the ex-employee's extensive training in anti-money laundering measures.

Following a Supreme Court ruling banning race-conscious college admissions, some advisors fear that RIAs will step back from their DEI initiatives.

The ex-financial advisors used clients' money on their businesses and other expenses like homes and travel, according to investigators.