Regulation

The giant IBD's lingering compliance issues should be "all done in 2015," says chairman and CEO Mark Casady.

U.S. asset-management executives met with international regulators to make the case that their firms don’t pose a risk to global financial stability.

Advocates for a new, stricter standard say momentum is on their side, while opponents argue that the rule-making process is too hasty.

As the DoL proposal enters the public comment period, here are two things 401(k) professionals and advisors concerned with how to comply should keep in mind.

Some of the proposed exemptions could be so expansively interpreted that they permit the egregious conduct that bona fide fiduciary standards are designed to constrain.

Texas veteran Leroy Brown Jr. lured in soldiers and veterans with outlandish affinity fraud, according to SEC complaint.

The much-anticipated DoL proposal extends a fiduciary standard to thousands of brokers and advisors providing investment advice on retirement accounts without barring certain types of compensation. But details on enforcement are still forthcoming.

Richard Ohrn, a former Chase and Wells Fargo broker accused of stealing money from customers, was discovered Sunday after staging his disappearance.

The firm says they "are pleased to welcome" Thomas Buck and his team.

JPMorgan Chase executives have been deposed and thousands of pages of internal documents subpoenaed as part of an SEC investigation into whether senior asset-management executives at the bank developed a policy of improperly steering clients into investments for JPMorgan's own financial gain, according to people familiar with the investigation.