All the major regulators of advisors — the Financial Industry Regulatory Authority, the Securities and Exchange Commission, individual state regulators and the North American Securities Administrators Association — disclose publicly what their enforcement focuses will be at or near year-end. When officials from those regulatory bodies speak in person, advisors can learn how they cooperate with each other (and don’t) and gain insights into what an examiner will be looking at when they show up on advisors’ doorsteps. That’s likely why a panel at the Financial Services Institute’s annual OneVoice conference in Orlando attracted such a big audience on Tuesday...