Advisers, take note: Regulator warns that seemingly small or hidden fees can cause a big dent in portfolios over the long haul.
Those who provide local governments with advice on derivatives won't have to register.
Tom Perez trying to push controversial proposal over the finish line but it's taking some time.
Concern over cost of doing business for advisers, lack of choice for consumers.
Bloomberg columnist William D. Cohan on the saga of Jill Wile, a former manager in the southeast regional office of the Financial Industry Regulatory Authority Inc.
Differing definitions of “fee-only” were hashed out by the Certified Financial Planner Board of Standards Inc., NAPFA and the Financial Planning Association earlier this week and while no conclusion was reached, the CFP Board will have the last word.
IBDs and wirehouses split on potential regulation to reveal recruiting packages
Rules in favor of Fidelity employees who say they were fired for reporting fraud.
SEC would get funding boost; limits placed on retirement-savings tax breaks for wealthy.
Dave Camp, the Republican House Ways and Means Committee chairman, is filling in the blanks in his plan to revamp the U.S. tax code and leaning on the financial industry to help pay for lower tax rates.
A Senate committee report will reprimand Credit Suisse Group AG for helping American clients dodge taxes and will criticize the Justice Department for not pursuing offshore banks aggressively enough, according to two people with knowledge of the findings.
A former Merrill Lynch broker already serving a 33-month sentence for securities fraud is back in the hot seat after being indicted for an 18-year Ponzi scheme.
Finra plans to revive a proposal that would require brokers to offer customers easier access to their profile in its BrokerCheck database. It's been modified since the first time the regulator floated it. <i>(See what happened to the <a href="//www.investmentnews.com/article/20130424/FREE/130429972"" target=""_blank"" rel="noopener noreferrer">first plan</a>.)</i>
The SEC's recent whirlwind of regulatory warnings prompts the question of whether it is biting off more than it can chew.
Oversaw growth of investment adviser lobby to 550 firms managing $11T, from 200 firms managing $1T.
Wrap fee accounts, rollovers and dually registered advisers crown list of examination priorities for 2014
Bringing the investor's perspective to Finra's work will add momentum to its tendency to promote the best-interests standard for investment advice.
The SEC chairman seeks a funding boost from Congress to add 250 investment adviser examiners. But she really needs eight times that amount to make a difference.
