Regulation

Point72 Asset Management said it took a 5.1% passive stake in RCS in a Nov. 14 regulatory filing.

Advisors need to face a hard truth: Independent RIAs have lost this round. Fortunately, there are other, better ways to set yourself apart.

Regulators say clearing firm noticed an “irregularity;” SEC says thefts occurred over a 10-year period.

FINRA arbitration panel sides with a former Commonwealth Financial Network client who claims he lost his retirement savings due to bad retirement planning advice.

Changes in the industry confront asset managers on several fronts. Michael Rawson, an analyst covering passive strategies on Morningstar's manager research team, shares his expectations on the outcomes these industry shifts will bring.

Federal prosecutor Loretta Lynch may soon replace Attorney General Eric Holder, leaving bankers wondering whether she will be tougher on institutions than her predecessor.

SEC Chair Mary Jo White declined to specify her position on the coming fiduciary standard rule or when the regulator may issue it.

The Fix LA Coalition, an effort spearheaded by labor unions and its allies, wants Los Angeles City Attorney Mike Feuer to file a regulatory complaint against the underwriters involved in 2006 interest rate swaps saying the risks weren't disclosed.

Regulators' patience is running thin for banks that continue to overindulge in leveraged loans despite repeated warnings from the agencies over the past two years.

Clients who retire early should consider withdrawing from their 401(k) with an eye toward delaying Social Security; Plus, a new way that 401(k) participants are able to convert their savings into steady retirement income.