Regulation

The proposal to replace in-person inspections still drives a wedge between investor advocates and brokerage industry groups.

Thomas M. Chadwick steered older adults into a volatile leveraged real estate product nearly wiped out by the pandemic, according to state regulators.

The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.

The Securities and Exchange Commission approved new rules that would require entities to disclose material cybersecurity incidents.

After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.

There are important nuances to note in the relatively straightforward requirements of the rule.

In one case, an ex-advisor is accused of defrauding clients with disabilities and spending their money on casinos and adult entertainment, among other things.