Financial regulations

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

It's the first significant regulatory filing requirement for RIAs in more than a decade.

Think social media and T-shirts: RIAs should swap “fee only” for “commission free” to draw a stark contrast between themselves and brokers, experts say.

Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

But the new rules may be a boon for some fintech firms.

The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

The regulator is on high alert as more than 10% of new launches last year targeted a theme.

FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

The justices said bankers can be held liable for sending clients deceptive information written by others.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

Industry veterans and newcomers offer their takes on key issues facing asset management companies.

Market skepticism is one of several hurdles for RIAs, says Walters. Compliance fears are another.