A recent third-party report showed Finra fines up in the first half of 2018, but the regulator declined to project this year's numbers, saying only that penalties fluctuate.
The retirement landscape could be transformed, so advisers should pay close attention.
Goal is to 'create a single point of accountability for the examinations of firms'
Washington University in St. Louis joins other colleges that have prevailed in court.
Your statements to an auditor could come back to haunt you should the issue escalate.
FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.
Action comes as SEC continues crackdown on low-priced securities.
Regulators are done warning firms about data security and Voya receives a first nip.
Brokerage executives expect the industry to put up a fight against the rule, which they say will lead to a complex web of compliance.
Only $4.9 million in restitutions were ordered during the first half of 2018, down sharply from the $38.1 million ordered in the same period in 2017.
Supporters hope Senate will move similar legislation to increase chances in lame-duck session
At a public forum in New York, advisers ask for help understanding how new fiduciary standard applies in practice.
Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.
New Jersey is the first state to take action on a fiduciary rule after the DOL rule's death, but experts think other states will likely jump on board.
Attackers allegedly impersonated independent advisers to gain access to VFA's online portal.
The Labor Department is responding to a recent executive order on retirement security from the president.
SEC complaint: John Gregory Schmidt sold securities from seven of his clients to cover shortfalls in 10 other accounts.
New regulatory executive Bari Havlik says firms doing things the 'right way' should see a 'lighter touch' on exams.
General counsel David Bellaire predicts final broker standard in 2019, but not Form CRS.
'Interstate profession' should be overseen at federal level, chairman says.
