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.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

Wirehouses have long complained about paying the highest dues among the group’s hundreds of members, insiders say.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.