Regulation

BlackRock and State Street, along with more than a dozen industry participants, are urging regulators to take steps to ward off extreme market volatility.

The fixed-income trade is booming at BlackRock and other investment firms, which are capturing a greater amount of activity -- and fees -- with their ballooning credit ETF businesses.

Banks are likely to accelerate the shedding of their in-house mutual fund businesses in light of the proposed rule.

Advisors should start getting up to speed now if they want to keep their heads above water when the rule begins to be implemented later this year, experts say.

Among the measures commission officials say they're working on is a third-party examination framework.

Anthony Kelly, the new co-head of the SEC’s Enforcement Division subunit, looks to reassure CCOs.

The clearing houses are too important to fail, and the current rules governing their risk management are too lax.

Advisors' most pressing questions on the proposal get answers from SEI's head of practice management solutions.

Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.

The advisor was a compulsive gambler who continued to bet in an attempt to make his clients whole, says attorney.