Regulatory reform

A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.

PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.

The new year brings new regulations and the end of grace periods from federal and self regulators.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.

Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.

The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.