Regulation & Compliance

Wall Street’s regulatory watchdog, the Financial Industry Regulatory Authority, is off to a slow start in the amount of fines and restitution ordered from broker/dealers and financial firms during the first six months of 2015...

As part of our #FiduciaryFriday series this month, we asked the Institute for the Fiduciary Standard's Knut Rostad to provide his thoughts on where the Securities and Exchange Commission's fiduciary efforts stand. Rostad finds there is a...

The Financial Industry Regulatory Authority is proposing to reduce the wait time to publish details of advisor terminations and investigations on its BrokerCheck system. ...

As part of our #FiduciaryFriday series this month, we asked Ron Rhoades to provide his thoughts on where the Labor Department's fiduciary rulemaking efforts stand. But Rhoades envisions a dark future for the industry if...

Advisors thinking about taking the leap need to be wary of specific developments and the aggressive regulatory environment that awaits them.

Risk alert. | Copyright Chip Somodevilla, Getty Images The Securities and Exchange Commission is warning broker/dealers that their guardrails around selling so-called structured notes are, almost without exception, weak. The commission iss...

Teaching investors the role their financial representatives play is a crucial component of the educational process.

TD Ameritrade celebrated the 75th anniversary of the Investment Advisers Act of 1940 by ringing in the opening bell at the New York Stock Exchange on Friday...