Regulation

When FINRA boss Richard Ketchum suggested the group was pulling back from its effort to regulate RIAs, advisors cheered -- but some observers worried the story isn't over. On Twitter, Investment Advisor Alliance said:  'Pressure is off for now. But what happens when Congress is once again more favorable to FINRA's goal?' …

When it comes to policing the way brokerages and advisors market themselves, the Financial Industry Regulatory Authority has turned into RoboCop.

The largest purveyor of money market mutual funds in the United States this month told the Financial Stability Oversight Council that no further reform of such funds is necessary.

No additional congressional action is planned before the start of the cuts, to be split between defense and non-defense spending. The across-the-board reductions will total $1.2 trillion over nine years, with $85 billion set to take effect in the remaining seven months of this fiscal year.

Observers say it's unlikely Congress will be able to strike a deal to stop across-the-board budget cuts from going into effect, raising concerns for bankers and regulators alike.

How to walk the fine line between expressing gratitude for a referral and divulging a new client.

The former TARP inspector general discusses the financial crisis and suggests advisors need to look beyond government policies for the greater truths.

Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny.

As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.

The largest purveyor of money market mutual funds in the United States this month told the Financial Stability Oversight Council that no further reform of such funds is necessary.