Financial regulations

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.

The wirehouse will make “many” of the pricing and product design changes it planned last year, include lowering commissions for trades involving stocks and ETFs “to the benefit of our clients,” according to an internal memo.

For the first time since 2008, a commission will propose long-awaited changes to the Standards of Professional Conduct. Areas under review include code of ethics and planning practice standards.

The costs of complying with the fiduciary rule may cause many smaller independent broker-dealers to disappear. Advisor Group plans to take advantage of this trend.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

Charles J. Dushek allegedly made trades without designating in advance whether he was trading personal money or client assets.

The firm was accused of using transactions with an affiliate to reduce the amount it was required to keep in its customer reserve account.

The former federal prosecutor is the president-elect's pick after vetting a handful of candidates, said a person with knowledge of the matter.

The allegations come a year after the firm paid over $300 million to resolve regulators' claims that it failed to tell wealthy clients it was steering them into its own funds.