Regulation

Investment managers facing tough questions from regulators over what caused trading disruptions for hundreds of exchange-traded funds this week said they got hit by a double whammy.

Two former advisors allege they were punished and eventually fired for reporting misconduct including trainees and interns entering trades as well as misleading clients during cold calls.

Mutual fund giant Fidelity Investments is warning deflationary pressures in the U.S. are building.

RIAs can be an easy entry point for organizations looking to move dirty money and avoid other financial entities that have formal AML procedures in place, says FinCEN.

The Wall Street regulator hit Charles Schwab with the penalty for net capital deficiencies and supervisory failures.

The bond market is sending a warning to the Federal Reserve: a false step could leave the U.S. bogged down in a disinflationary quagmire well into the next decade.

The advisor, who worked at U.S. Bank, claimed that he was fired in retaliation for complaining about a co-worker who he felt made unsuitable investments for the advisor's 94-year-old client.

With retirement savings plans directly in focus, the Labor Department is one step closer to implementing a new fiduciary standard whose scope heartens supporters and troubles critics.

Advisors, brokers and other industry insiders weighed in on the Labor Department's fiduciary proposal, laying out what they say are the benefits and pitfalls of the forthcoming rule.

Fiduciary advocates question the math behind the opponents' estimate, calling it an "Alice in Wonderland report" without backing.