Two cases late last year and recent regulatory actions have underscored the need for firms to work this year on developing practice standards if they offer robo-advisory services or expect to do so.

The regulator wants broker/dealers to come forward and self-report supervisory failures in exchange for leniency.

Patrick McHenry says the House should look closely at the effectiveness of regulators' fintech innovation initiatives, as well as the industry's readiness to protect personal information.

The author shares his copious notes on this interesting session.

But fiduciary advocates say the proposal is an improvement on the SEC's Regulation BI in drawing a distinction between advisors and brokers.

Advisors, beware of vendors offering “soft” practice management services that are meant to help your business more than your clients. The SEC is watching.

Controversial U.S. Rep. Alexandria Ocasio-Cortez has been appointed to the House Financial Services Committee.

The SEC said the same group that infiltrated PRNewswire Associates LLC and Business Wire computer servers years ago to obtain unreleased press statements was also behind the 2016 attack on the regulator’s Edgar database of corporate filings.