Regulation

Here's how the industry's leading experts say you can protect your data and your practice.

Industry trade groups argue that a fiduciary rule would make investment advice and retirement planning too expensive for low- to middle-income families. Here's what they really mean, according to Bloomberg View columnist Paula Dwyer.

The world’s biggest money managers are mapping out proposals intended to grease trading in debt markets that regulators warn are at risk of seizing up in the event of a sudden rush by investors to pull cash.

President Barack Obama throws his support behind the Department of Labor's fiduciary proposal; advisors take to Twitter to voice their reply.

SIFMA's Karl Schimmeck discusses where the threats are coming from and what is being done to mitigate the risk.

A French prosecutor recommended charges for complicity in tax fraud and aggravated money laundering tied to a trust overseen by the firm's office on the island country.

Now that the Labor Department has pressed forward with a controversial proposal for advisors in the retirement space, where do the rules go from here?

Regulators are now starting to show interest in how ties between leveraged loans and other links in the systemic chain -- including investment funds that buy up loans -- could magnify credit losses.

The liabilities your broker-dealer faces when supervisors oversee wealth managers both inside and outside your practice.

Steven J. Dunkelberg was barred for allegedly swiping nearly $5,000 from a bank customer's account. He's the third rep to be ousted from the industry this year.