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.