The regulator reported 108 standalone actions against investment advisors/investment companies this fiscal year, compared to 82 in the prior year.

False accusations of misconduct are clouding the credibility for everyone.

Instead of being forced to comply with government mandates, advisors should adhere to these three core principles.

The SEC is considering a few extra regulations on RIAs, which would make it harder for independents to do business, advocates argue.

How should plan consultants and advisors proceed?

Compliance and archiving firm Smarsh found lingering questions around mobile, still a potential issue for financial services firms.

Not everyone is happy about this development.

Last year, RIAs had more bad actors than broker/dealers, according to the North American Securities Administrators Association.

The states can do what they will, but the association of state securities regulators is focused on making its position clear on Regulation Best Interest.