Regulation

Morgan Stanley's move to push more cases to an arbitration system of its choosing tilts the playing field against advisors and curtails their rights, opponents say.

Blackstone Group is expected to pay $39 million to settle claims stemming from a U.S. regulator's probe into whether private equity firms put their own interests ahead of investors'.

The world’s largest issuers of ETFs are holding talks with stock exchanges and market-makers to avoid a repeat of the issues that plagued ETFs during Aug. 24’s market turmoil, according to five people with direct knowledge of the matter.

By claiming robos may be unregistered investment companies, new report raises the stakes in fight for dominance.

Opinion: "The Labor Department's endorsement of these algorithmic investment guides seems curious and misplaced," says securities attorney Melanie L. Fein.

Two cornerstone laws of the wealth management industry turned 75 and with much work left to do, they show no signs of slowing down. Check out what experts said at a recent event.

Small market participants have less access to support and appear to be less knowledgeable and engaged in their workplace retirement plans.

A retired couple alleges their advisor lost millions through negligence and misrepresentation of certain securities, but the firm says that the clients were sophisticated self-directed investors.

Senate Banking Committee Chairman Richard Shelby sent a letter to regulators this week raising concerns about the role of the Financial Stability Board in designating large banks as systemically risky and whether the international council has undue influence on U.S. policy.

The pretense that Republican opposition to the DoL's proposed fiduciary rule changes is being done in the name of investor protection is "galling," says The Consumer Federation of America, an advocacy group.