Regulation

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

The regulator moved to eliminate a $400 fee for “explained decisions.”

Instead of harmonizing standards of client care across the industry, it may be better to re-differentiate them in light of the fiduciary rule's recent court loss.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.