Regulation

Officials should ask "whether these new robo advisors can be neatly placed within our existing laws," SEC commissioner says.

State alleges Realty Capital Securities employees impersonated shareholders to game proxy votes and advance management agenda.

The agency is using data analytics to scrutinize broker-dealers and advisors who are recommending an increasingly complex array of products.

SEC Chairwoman Mary Jo White says they are working on a fiduciary rule, but declined to provide a timeline, saying it's "not a short, quick uncomplicated rule making."

Attorney Alan Foxman answers readers most pressing regulatory and compliance questions, including from one advisor who ran into troubles after being given authorization by a client to make trades on their behalf.

Indian regulators plan to allow online marketplaces such as Flipkart and Amazon.com to offer funds alongside other products

United Capital anticipates adding $1.5 billion in assets in buying Select Financial Group and PSA Insurance & Financial Services.

The restriction prevents clients from selling at a loss and buying back the same asset within 30 days. But there are strategies advisors can employ to use the rule to their clients’ advantage.

Treasury Secretary Jacob Lew announced that the administration's "myRA" retirement plan will be available nationwide, with an expanded menu of funding options.

Already gaining in popularity among advisors, low-cost annuities could receive a further boost if the Department of Labor's fiduciary proposal goes into effect.