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.

Wouldn’t you love for this not to be just a time in which your organization survived, but that it actually evolved in ways that’ll enable it to thrive in unimaginable ways?

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.

The Form CRS was intended to provide clients with a streamlined and transparent disclosure. But a new 'Wall Street Journal' investigation found that 1,300 firms failed to disclose the misdeeds of their advisors.

A U.S. District Court judge sentenced Sean Donald Premock to 10 years in prison for defrauding his elderly and family member clients out of their life savings.