Financial regulations

Asset managers already allocated $11 billion to developing new funds to comply with the requirement.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The beleaguered bank is reported to have been ordered by the Justice Department in late 2017 to conduct an independent investigation of the business.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

The scrutiny puts a spotlight on a small corner of the $3.4 trillion ETF industry.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

Planners must make accurate disclosures about their service models, says the regulator.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.