Regulatory reform

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.

James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'

A new SEC-approved rule will allow regulators to publicly identify 'restricted firms' in BrokerCheck searches.

The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.