Regulatory guidance

Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

The No. 1 independent broker-dealer failed to properly register more than 650 reps as agents, the prominent state regulator says.

The SEC clarifies what's permissible under the new regulations, the latest sign of the confusion it created in the advisory industry.

The regulations cut back on some forms of conflicted compensation. Here's what else to expect.

The new rule package will require firms to take a hard look at their compliance programs.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.