The SEC on Tuesday wrapped up its three-month public comment period on the proposed Regulation Best Interest.

Allison Lee, a former aide to Commissioner Kara Stein, would replace her former boss on the five-member panel.

A plan to limit bad sales incentives doesn’t give investors the protection they need.

The evaluation and restructuring began when Susan Schroeder, who has been with FINRA since 2011, was named executive vice president and head of enforcement last summer.

Trump forms a new fraud task force, Merrill advisor leaves for Dynasty and Schwab adds 11 more commission-free ETFs.

With the regulations being implemented for the 2019 plan year, now is the time for plan sponsors to ensure that systems are in place to capture the additional data that will be required.

Why did the SEC choose the road less traveled?

The regulator will begin conducting reviews within 15 days after a firm applies to register an individual with FINRA, something that was previously done annually.

A Georgia court ruling states that the Broker Protocol doesn't absolve brokers of the duty to give advance notice before leaving.

Vanguard expands commission-free ETFs to 1,800, William Galvin launches private placement investigation and scooter startup Spins is offering STOs backed by company revenue.