Regulation

The Certified Financial Planner Board of Standards has unveiled a new framework for its disciplinary arm to follow when taking action against a member, the first such standards the certification group has issued in its history.

The starter's pistol is about to be fired for the swaps industry.

House Republicans have charted a course for expedited tax reforms next year in case they control Congress and the White House.

As sharp lines have emerged within a prominent House committee over how to step up examinations of investment advisers, the panel's chairman has signaled that no legislation will advance without broad, bipartisan consensus.

The Commodity Futures Trading Commission said the futures commission merchant based in Greenwich, Conn., failed to properly supervise the reporting of activity in accounts of large traders.

Comments by former Citigroup chief executive Sandy Weill reignited the debate over whether to separate commercial banking from investment banking.

House Democrats on Wednesday introduced legislation that would expand the role of the SEC to conduct oversight examinations of investment advisors, a segment of the financial services sector that lawmakers on both sides of the aisle have agreed is under regulated.

According to an SEI poll, 44% of wealth managers said dealing with ongoing and ever-evolving regulatory changes will be their firms’ top priority this year.

U.S. senators Jack Reed and Charles Grassley introduced a bill to authorize the Securities and Exchange Commission to impose bigger sanctions after the agency said it didn’t have adequate tools to deter financial fraud.

The advocacy organization sent a letter of comment to the SEC citing the impact a fee hike could have on independent firms.