Regulation & Compliance

Some suggested that mistakes, rather than intentional duplicity, were the reason behind firms failing to disclosure past legal and disciplinary incidents in their Form CRS.

In an interview with WealthManagement.com, the SEC commissioner offered her perspective on how the markets handled the COVID-19 pandemic's volatility, as well as her thoughts on the newly implemented Regulation Best Interest.

Hai Khoa Dang lost nearly all of a retired couple's $2.2 million in retirement savings, according to a complaint filed by the SEC.

Should Joe Biden win the president election, Caroline Crenshaw will likely have an expanded opportunity to help guide the agency’s priorities.

FINRA alleges Wells Fargo failed to properly supervise variable annuity switches.

Critics and supporters of the Labor Department's fiduciary exemption proposal spoke during an all-day virtual session.

The Securities and Exchange Commission scrutiny is focused on Robinhood’s disclosures prior to 2018, when the company altered its website to make information on how it earned money easier to find.

The top compliance role at the robo advisor has already seen three changes in 2020, but recruiters are still looking for the right person.

Incoming NASAA President Lisa Hopkins said the expansion of private markets without proper regulation and transparency is a 'potential breeding ground for fraud,' during the organization's virtual annual conference.

Industry stakeholders are now looking to Massachusetts to see how aggressively the state enforces the rule and gain insight into how other states may follow suit.