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But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.
November 5 -
It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.
August 20 -
If planners can navigate data security and compliance concerns, the app can connect them with a huge new audience.
July 29 -
As the industry pushed to comply with the fiduciary rule, new issues emerged.
June 23 -
Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.
May 19 -
Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.
April 27 -
XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.
April 23 -
Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.
March 25 -
Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.
March 12 -
Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.
March 9