Regulation

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.

The justices unanimously ruled in favor of two Gabelli Funds LLC officials seeking to block SEC claims that they improperly let a client engage in market timing, a practice of making frequent, short-term trades at the expense of other investors. They contend the SEC missed the five-year deadline to file the lawsuit.

Many financial advisors hesitate to use social media because they are concerned about compliance. This is certainly understandable, but current rules allow plenty of flexibility to use social media effectively.

William Galvin, Secretary of the Commonwealth of Massachusetts, today called out Charles Schwab & Co. for recently changing up its customer arbitration agreements by striking its investors’ ability to join class action lawsuits.

The SEC plans to take a close look at potential conflicts of interest in the investment-advisor practices that its examiners oversee, and will ramp up scrutiny of the marketing and performance claims of federally registered advisors, according to the examination guidance the agency recently issued for the coming year.

The Year of the Snake began on February 10. According to Chinese folklore, this year will be known for steady progress and attention to detail.

Are active exchange-traded funds just a gimmick? And is there a resolution in sight for any potential further reform of the money market mutual fund industry?