Regulatory actions and programs

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

Industry insiders see the agency proceeding with its rule to harmonize standards for brokers and advisors.

The FBI has reportedly interviewed employees at the bank’s wealth management unit.

The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.

While some are mainstays, there are a few new ones to add to the list this year.

Focus turns to the SEC as it considers creating its own higher standard of client care.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.