Regulation

The Municipal Securities Rulemaking Board would for the first time require broker-dealers to disclose to state and local governments that they are not fiduciaries and would prohibit underwriters from telling issuers not to hire financial advisors, under revised rule changes it filed Thursday.

The waves of financial regulations that are being introduced around the world "represent some of the biggest changes in financial services in 70 years." Here's what's changed and what you and your firm can do now to meet these new regulatory requirements.

A Georgetown University professor has proposed a different idea in the ongoing debate over how investment advisors should be effectively regulated: outsource the heavy lifting to accounting firms.

Was a complex product sold to a wealthy family that was only suitable for an institutional client?

Our legal expert discusses what happens when clients don't follow orders.

Financial planners across the globe are just as aware of the potential repercussions that Dodd-Frank Act implementation and other regulatory issues will have on the profession as their U.S. counterparts, the head of the Financial Planning Standards Board said during a media briefing Monday morning.

The Department of Labor issued new regulations that aim to broaden access to personalized investment advice for workers engaged in retirement savings plans.

The SEC is now requiring alternative investment fund managers to provide a lot more details on their operations.

The SEC has ordered FINRA to improve the way it handles documents submitted during SEC inspections. The order, issued Thursday as part of an administrative settlement between the two organizations, comes after the disclosure that the director of FINRA’s Kansas City Office in 2008 ordered the minutes of three meetings dating back to 2006 and 2007 to be altered hours before they were they were provided to the SEC’s Chicago Regional Office.

Tweets are ‘static content’ in the eyes of Morgan Stanley Smith Barney, which operates a network of 18,000 financial advisers.