Both comment letters criticized the SEC's proposal to change which investors can access private offerings, arguing there was a danger that retail investors could suffer heavy losses as a result.

At least 50 fee-for-service financial planners are waiving their fees to provide advice to folks impacted by the coronavirus.

These are stressful times for clients but also for advisors. How do they cope? Exercise, outdoor walks, even meditation—but mostly, commiserating with others who share their experiences.

As test administrator closes sites due to the coronavirus, exam registrants will be rescheduled for July.

A lot can be learned listening to clients’ experiences working with financial advisors—good and bad. We talked to Adam Weinberg of West New York, N.J., founder of Web Guy X, a digital marketing firm, and Relax with Adam, a meditation center, both...

The site is meant to act as a consolidated hub of information regarding the coronavirus’ effect on taxpayers.

Parties with meetings scheduled between now and May 1 will be able to reschedule or consider conducting the meeting remotely, according to FINRA.

The SEC will give advisors an extra month to file their Form ADV, both parts 1 and 2, in light of the business disruptions caused by the coronavirus pandemic, and left open the possibility of further postponement.

Broker/dealer trade groups, including the Financial Services Institute and the Securities Industry and Financial Markets Association, argue in support of the SEC's proposed rule in an amicus brief this week.