Regulation

Labor Secretary tells skeptical lawmakers fiduciary proposal is a needed investor protection, as industry representatives contend rules would force them out of retirement segment.

Regulators are seeking to ensure that post-crisis rules and monetary policy aren’t creating a toxic brew that’ll explode amid a sudden exit by investors.

Advisors should review their employment contracts and other documents to make sure they won't incur liability for taking client information.

The brokerage model as the industry knows it may be pushed aside by a future fiduciary standard.

Complacency is the latest threat facing federal employees.

Debra Ann Paton worked in the brokerage unit of First Tennessee Bank in Johnson City, Tenn. She was expelled for allegedly filing phony expense reports.

Advisors should check to see if both their old firm and new affiliated firm have signed on to the industry protocol for taking client information.

SEC Commissioner Kara Stein is worried that mutual fund sector is moving beyond the reach of the regulators.

Money funds are finding new ways to get the securities they need, opening a door for other institutions to step into roles once dominated by banks.

Two former Goldman Sachs Group Inc. bankers are starting a hedge fund to profit from a void in bank lending.