Regulatory guidance

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.

The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

The new law will affect how financial advisors and clients evaluate the pros and cons.

Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Advisors should expect more regulatory requirements, enforcement actions and uncertainty in 2018, experts say.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

“Your risk of being audited goes up,” says RIA powerhouse Ron Carson.

The breach follows other developments that have made offshore planning methods less attractive.

The federal exemption does not cancel out key planning matters affecting everyone at death.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.

The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.

Authorities say increased regulatory coordination has boosted scrutiny of firms and advisors.