Regulation

CEOs, when questioned in recent earnings calls, offered first impressions of the impacts the proposal may have on the industry.

The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.

Seven years after declaring a truce in a battle with large banks over tracking their insured deposits, the FDIC reopened the fight Tuesday with a new proposal that would take an even tougher stance.

The case complaint is the latest to portray America’s all-electronic stock market as vulnerable to predators with software.

Adding rollovers and IRAs to the definition of fiduciary duties, the Department of Labor's new proposed rule could have a huge impact on firms in a fast-growing and profitable segment of the retirement savings industry.

BlackRock agreed to pay $12 million to settle U.S. regulatory claims that it failed to disclose a conflict of interest of a top portfolio manager.

BlackRock agreed to pay $12 million to settle U.S. regulatory claims that it failed to disclose a conflict of interest of a top portfolio manager.

Former Federal Reserve Board Chairman Paul Volcker proposed a massive shake-up of the U.S. financial regulatory system on Monday that would consolidate oversight into three super regulators.

Behind the accounting errors that knocked $4 billion off American Realty Capital Properties' market value was a hidden scheme that generated more than $900 million in managers’ fees and bonuses, investors said in a lawsuit against the company.

The Department of Labor's latest proposal should be fully digested and evaluated before public comments are sought by the agency.