Regulatory actions and programs

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

The rep was suspended for 18 months and fined $7,500 for allegedly adding his wife as a 50% primary beneficiary to a customer's variable annuity without the customer's knowledge.

Robert Cook said wealth management firms "must do their part."

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

He confessed months after he was caught with 136 pounds of marijuana, investigators say.

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

He concealed 300 transactions over two years while raking in millions of dollars, investigators say.

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The investor received 15 months in prison after pleading guilty to wire fraud.

The pro athlete met the adviser through his college business professor, authorities say.

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.