Regulation

The new proposals may end up being the best thing that ever happened to ETNs.

Good compliance management software means no more overlooked emails, or documents gathering dust in filing cabinets, says BasisCode Compliance CEO.

A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims.

Pooled employer plans and auto-enrollment gain Senate support, but advisors working with those plans could soon be held to a higher fiduciary standard.

Telling clients what it means to be a fiduciary is vital, but it shouldn’t come across canned and wordy.

A somewhat darker tone could be observed emitting from the ETF.com conference this year.

The proposal landed at the White House's Office of Budget and Management yesterday for one last review.

The strong winds of compliance are sweeping over an increasingly regulated advisory landscape. Here's what advisors need to know.

Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says.

Norm Champ, a former SEC official who shaped rules meant to prevent runs on money-market mutual funds, is joining law firm Kirkland & Ellis.