Regulatory guidance

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.

The president looks to fulfill a key promise from his campaign.

State examiners are finding more shortcomings. At the same time, advisors face bulked-up regulators probing more aspects of their practices.

New FINRA guidelines lay out the consequences.

How to stay out of trouble if a customer praises your investing prowess on your site.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

Regulations can take a long time to reverse.

An advisor questions a witness’s qualifications.