Regulatory guidance

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.