Regulatory reform

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

The firm stood accused of not having policies to ensure clients' money was invested in keeping with environmental, social and governance goals.

An SEC panel meets to question who should meet the criteria for putting money into complex and possibly risky investments.

Mutual funds will have to take extra care when using terms like ESG, value and growth.

The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients.

The advisors were all charged with advertising hypothetical performance results without taking into account the particular needs of their audiences.

The changes come in response to questions that arose over the previous removal of a member from one of the regulator's three-person arbitration panels.

The Wall Street watchdog looks for factors like repeat violations and staff members with a history of disciplinary troubles.

Under the proposal, critics argue, investment ads could be considered recommendations triggering advisors' obligation to look out for clients' best interests.