Financial regulations

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.

“People need to know what the rules are,” an industry consultant says.

Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.

Trump's pick might have to manage a recession, given that the current expansion would become the longest ever in the next four years.

With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Susan Axelrod will leave the self-regulator after 28 years on the job.

Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.