Regulatory guidance

Director tenures, nominations and committees are changing after an independent task force identified weaknesses.

Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.

Coronavirus-related distribution provisions can now be returned and there’s a larger pool of recipients eligible for relief. Here’s what advisors need to know

The announcement was welcomed by Wall Street lobbying groups, some of whom sued to vacate the Obama-era regulation.

Secretary of Labor Eugene Scalia said retirement plans aren’t for “furthering social goals or policy objectives that are not in the financial interest of the plan.”

The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.

The program faces big challenges, including the coronavirus pandemic which could deplete the program’s $3-trillion trust fund as early as 2028.

SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.

Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.

People born in 1960 could see a permanent cut in their benefits without action by policymakers, an expert warns.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Here's what advisors need to know as the agency continues remote exams.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

Organizations and firms are donating N95 masks, providing resources at no cost and taking steps to protect employees and practices nationwide from the spreading pandemic.

FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.

Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.

Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.

Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.

The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.

Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.