Regulation

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.

Those looking for easy answers from a government report about what caused recent volatility in the Treasury markets — including whether regulation is to blame — were likely disappointed.

White House reiterates support for controversial fiduciary proposal, outlines new initiatives to expand access to retirement savings plans.

The brokerage wants a judge to stop the former employee from claiming she remains employed by the firm, and from disclosing proprietary information on Facebook and other social media.

A private client banker with J.P. Morgan Chase allegedly took $200 from a customer's wallet; and a personal banker from Wells Fargo Bank allegedly endorsed a check made payable to a client and deposited it into her personal account.

Paul Reilly calls for more cooperation between regulators and the industry.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.