The SEC charged AR Capital, its founder, Nick Schorsch, and CFO Brian Block with fraudulently profiting off of REIT mergers.

In response to requests from the FPA and others, the CFP Board will push back the compliance date for its new Code of Ethics and Standards of Conduct to June 30, 2020, which coincides with the SEC's Reg BI.

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The resolution puts pressure on the SEC to collaborate more with state securities regulators, especially on matters of investor protection.

Successful financial advisors know what their clients really think about them. Period. With that in mind, we talked to Katherine Wertheim, a fund-raising consultant for nonprofits in Ventura, Calif., about her experiences as a client.