Regulatory actions and programs

The demands come following a Financial Planning investigation revealing how JPMorgan’s Chase Private Client group used false evidence to get rid of an advisor.

Trading venues have clubbed together to attack the latest European effort to curb what they charge clients for data.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

The insurgents won seats allotted to represent small and large firms.

Brokerage shops get to weigh in later this month on challengers promising reforms at the industry regulator.

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

The agency wants to hire a reputation management expert to burnish its image as it faces social media attacks.

The certifying body says it will no longer rely on advisors’ reports and it is convening a new task force to modernize enforcement.

The bank will pay $1.25 million for alleged supervisory failures.

Regulators are asking cannabis fund providers to produce third-party legal opinions verifying they don’t violate state or federal laws.