Kenneth Corbin

Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.

This year’s list of the 150 largest firms represents an industry that will emerge from a post-COVID world deeply altered.

Industry groups warn of creeping fiduciary obligations, while consumer advocates see it as a setback for investor protections

A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.

Michael Kitces, co-founder of XY Planning Network, says the group is mulling its options after a federal court struck down the organization’s lawsuit against the SEC rule.

A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.

Lawsuit claims woman advisor was denied revenue opportunities and administrative support amid an alleged climate of harassment and discrimination.

XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.

Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.

Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.