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.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

The move will streamline investigations and standardize sanctions, the regulator says.

Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.

Some predict the new standards will push more planners to drop their CFPs.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

A tweak in accounting guidelines the firm helped to modify is expected to make the funds cheaper and easier to own.

The OCIE is suggesting best practices for firms to protect themselves.