Financial regulations

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.

A new comment period would give the administration time to prepare for legal challenges anticipated after it puts a delay into place, one expert says.

The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

Rule supporters say they intend to continue making their case on Capitol Hill.

Sobering results from a light-hearted survey prompts columnist Bob Veres to change his tune about how advisers use "retainer."

Digital advice firms will continue to market themselves as white knights in the financial services industry, observers say.

Advisers reacted to President Trump's efforts to halt the regulation.

Even as President Trump seeks a rollback of financial regulations, there’s little chance the rule will be paused — and an even slimmer chance it will be derailed, says TD Ameritrade Institutional’s Skip Schweiss.

CFP Board and other supporters see the Labor Department's rule on retirement advice under assault, digging in for fight against administrative or legislative efforts to delay the rule.

Who’s responsible for a digital problem caused by a third-party program? Not the vendor.