Financial regulations

The good, the bad and the downright inexplicable in the suggested changes.

Investor advocates laud regulator's newest steps to address the longstanding problem.

The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The effort will allow other critical resources to be focused on more substantive matters such as examinations and licensing requirements.

The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The proliferation of smart beta and increased AUM are among the forecasts by industry experts.