Regulatory guidance

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

Financial advisors and their firms are providing zero-interest loans, free counseling and fresh ideas for some 800,000 federal workers going without pay.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.

The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

Still, time is limited. Tell clients they’d better take advantage of the current exemption before it expires.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

For advisors that make a claim of misconduct the deck appears stacked in favor of the employers.