Regulation

The U.S. Supreme Court will consider giving 401(k) participants more power to sue their plans over investments that impose excessive fees, accepting an appeal tied to a wave of suits against employers.

President Obama has blasted the tactic as unpatriotic while the Treasury Department has announced steps aimed at limiting the tax benefits. But beyond the headlines and sound bites, how should advisors evaluate inversions when developing investment strategies for their clients?

A FINRA arbitration panel ruled a broker caught in an insider trading scandal must pay back over $3 million to Morgan Stanley.

FINRA has issued a long-awaited regulatory notice outlining the proposal for a controversial data-sharing system known as CARDS, asking for comments from the industry and other stakeholders.

FSI sees the new insurance coverage as an added benefit the group hopes will help it increase membership and amplify its advocacy efforts.

Nearly 40% of community banks have no plans to introduce new products and services in the next three years, according to a recent survey from the Federal Reserve and Conference of Bank Supervisors. Technology also remains a daunting challenge, along with regulatory changes and other business challenges.

Discussing his experience disclosing a cancer diagnosis to clients and other challenging planning scenarios, an ethics consultant offers a number of surprising lessons for advisors.

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages.