Regulatory guidance

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Can FINRA suspend the advisor’s license?

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

More trouble for the embattled company.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.

Jack Brod, the chair-elect of the board of directors, plans to heighten enforcement efforts to ensure CFPs are consistently acting as fiduciaries.

The firm arranged to make transactions differently on the days that it was required to calculate its reserve deposits, the regulator says.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.

While such an act may seem like career suicide, it can in fact be a move to do just the opposite, according to attorneys.

The break on qualified business income will save company owners an estimated $415 billion over the next decade. Are your clients eligible?

A pen and paper or more advanced methods of documentation can save financial advisors from a variety of troubles.

The ruling scuttles the state AGs' bid to win reconsideration of the DoL’s regulation.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.