Regulatory actions and programs

Some predict the new standards will push more planners to drop their CFPs.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.

The agency's staff has recommended filing an enforcement action against two Barclays bankers, according to records filed with FINRA.

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

The adviser refused to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer.

The regulation, which has broad support among RIAs, has spurred firms to streamline policies and procedures, according to a new study.

The firm has collected more than $1.1 million in arbitration cases so far this year.