SIFMA

The criticism from the largest brokerages, investment banks and asset managers runs the other way from that of planners who argue the guidelines are insufficient.

A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.

The legislation re-introduced in Congress could give more clients the option of seeking damages through the courts.

Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.

The announcement was welcomed by Wall Street lobbying groups, some of whom sued to vacate the Obama-era regulation.

Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.

Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.

A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.