Regulation

Our legal expert discusses when settling an arbitration case saves time and money.

Wealth management executives call for more accountability and a new approach to client relationships.

Advisors are urged to weigh in as a pair of rulemaking proceedings move forward this summer.

Royal Bank of Canada was ordered to pay more than $800,000 to a U.S. couple over their losses on investments including Lehman Brothers Holdings Inc. preferred stock.

Investment Company Institute chief public communications officer Mike McNamee is speaking out in anticipation of the Securities and Exchange Commission hearing on money market fund reform.

Your clients need you. They really need you! A new report released by FINRA’s Investor Education Foundation shows why, and perhaps casts light on why financial planning has been ranked as one of the best careers.

The U.S. crackdown on Liberty Reserve is stoking fears that the government may effectively cut off digital currencies like Bitcoin as banks sever ties with businesses in this growing field.

This was one initial public offering that Nasdaq executives sure didn’t “like”.

The threat of cyberattack is an increasingly hot topic in Washington, but political interest alone appears unlikely to provide enough momentum to get cybersecurity legislation supported by banks passed this year.

Chalk this one up to bad PR.