Financial regulations

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

How do smaller firm avoid paying six-digit fines for administrative shortcomings?

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

Payment of back wages is ordered as well as reinstatement. A second reinstatement may also be in the works, Financial Planning has learned.

The White House’s inaction has left the SEC and the CFTC with just two members each, one from each party, giving Democrats the power to block policy moves they disagree with.

Access to banking information ensures advisors can perform holistic planning, fintech firms say.

It’s time to consider payment schemes that are more transparent and better aligned between who pays the cost — and who enjoys the benefits.

If Acosta is confirmed, one of his most immediate decisions will be how to handle the Obama-era regulation. Labor department officials say they expect him to bring a conservative approach.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

Even a well-intentioned compliance manual can draw the ire of regulators.