Financial regulations

"Data analytics is critical," says FINRA's chief risk officer.

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.

IHT Wealth Management now has $2.4 billion in client assets.

A recent launch from Flat Rock is designed to provide access to middle-market debt in a new way, according to the firm’s CEO, Robert Grunewald.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

Asset managers are still guessing how clean shares will fare under the new regulation.

While the SEC does its due diligence into the new European rules, some of the world’s largest money managers have started to make independent decisions.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.