Financial regulations

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.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.

Advisors are increasingly buying tech to monitor information sharing between financial firm partners and tech vendors.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

Firms are seeking these three specialties.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

A record number of fund openings and closures were reported last year. What does this mean for the future of the industry?