Regulatory actions and programs

A federal judge categorically rejects claims by an insurance group that the agency overreached. The ruling "sets the tone" for other suits nationwide, an investor advocate says.

While a federal court allowed the organization to file a brief saying it upheld fiduciary values, it should not be providing expert opinions, writes the founder of a fiduciary consulting firm.

Friends and business associates lost $2 million in a Ponzi-like scheme.

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

Following Commonwealth Financial Network's decision to cut its commission-based retirement business, some competitors head in the opposite direction.

The recording casts doubt on the CFP Board's claim that all CFPs are fiduciaries.

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

The regulator is asking firms to provide details of their cross-selling programs, including incentives offered brokers and other employees.

The decision is effective immediately and was made within hours of the Department of Labor issuing new regulatory guidance on the fiduciary rule's implications.