Financial regulations

During his tenure as New Jersey’s top lawyer, the state proposed tougher rules for investment advisors and joined other states in suing financial firms.

Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference

The SEC has tweaked certain accounting rules and is considering doing more.

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

Having a regulator appoint an auditor would deal with the conflicts once and for all, writes Chris Hughes.

Potential legislation from a more progressive Congress and pressure from activists groups could mean the end is near for forced arbitration.

Early comments from Chairman Gary Gensler have thrown cold water on speculation that the regulator would quickly approve a crypto fund.

Constantinos Maniatis exercised discretion in seven customer accounts despite the firm no longer allowing discretionary trading, the regulator said.

Advocates hope the Labor Department's first clarification on the Trump-era advice rule is the beginning of a series of steps to improve advice standards.

While efforts to recover cash through litigation have repaid nearly 70% of valid claims, hundreds say they have been victimized a second time by that system.

The former CFTC chair is expected to face intense pressure from progressive Democrats in his new role, many of whom want him to promptly toughen oversight.

Evan Schottenstein, without admitting or denying the findings, agreed to the sanction after FINRA concluded he wasn’t complying with its investigation.

It’s yet another revenue stream that may face pressure after the custodian spawned a race to zero commissions more than a year ago.

Rule 11870 permits member firms to use them rather than obtaining an affirmative authorization from the client — in certain situations.

In most cases, assume that your "outside business" is not affiliated with your current employer.

As more people pile into the markets, it's crucial to foster financial literacy, write Christine Lazaro and Teresa Verges.

The funds are one of the largest forms of short-term debt vulnerable to investor runs in our financial system, writes former CFTC Chairman Timothy Massad.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

Analysts were permitted to adjust key stresses in the model used in determining commercial mortgage-backed securities ratings, according to the regulator.

The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.