Regulation

WisdomTree Investments has dodged a legal bullet.

Expect more financial regulatory changes, Schwab executives suggested Thursday -- and be wary of a new recession if Congress and the new administration don’t take steps to keep the country from going all the way over the so-called fiscal cliff

With Obama in office for a second term, the markets are likely to do well, the fiscal cliff will probably be resolved and Dodd-Frank and Obama's healthcare legislation are here to stay, said current and former MFS investment experts during the firm’s post-election webcast for financial advisors.

Tim Ryan says focus should be on moving forward with Dodd-Frank and addressing the fiscal cliff.

The elections mostly delivered the status quo, but raised a host of questions about how lawmakers will tackle the fiscal cliff, big bank breakups and housing finance reform.

“Last night’s speech showed that he knows that he needs the whole country engaged and to work with him,” BNY Mellon Investment Management CEO Curtis Arledge said of President Obama.

Advisors can calm clients who wanted a Romney victory.

In response to the damage and disruption inflicted by Hurricane Sandy, the Securities and Exchange Commission has confirmed that it will extend the deadline for regulatory filings for publicly traded companies, investment advisors and other regulated entities.

With four more years of the Obama administration, members of the financial advisory industry share their perspectives on what the win means for the industry and the clients they serve.

As the balance of power in Washington is upheld, advisors prepare for tax increases in 2013