Research found that the regulation’s Customer Relationship Summary actually increased investor confusion over the differences between brokers and investment advisors.

Secretary of State William F. Galvin announced an investigatory sweep of 63 broker/dealer firms.

Wealth managers who skimp on financial planning could be putting their practices in peril.

This series discusses the new business models that have emerged to support independent financial advisors.

A Michigan-based crypto firm wasn’t listed as a broker/dealer, in violation of securities regulations, said the SEC.

The SEC claims the independent broker/dealer failed to supervise reps who sold retail investors a leveraged oil ETN that was designed for traders; FINRA fined the firm for inadequate supervision of annuity sales.

The industry regulator’s complaint accuses a broker of securities fraud connected to his cryptocurrency “HempCoin.”