Regulation

Investment advisors could eventually have a national self-regulatory organization akin to the Financial Industry Regulatory Authority soon, if draft legislation introduced by an Alabama Congressman becomes law. But it will not come without a fight.

The Securities and Exchange Commission is in the early stages of a major examination into the operations of hedge fund companies and investment banks that engage in high-frequency trading.

The Securities and Exchange Commission said it will seek public comment on a plan to conduct retrospective reviews of its existing regulations.

WASHINGTON — Although Federal Reserve Board officials promised to unveil a long-awaited package of key Dodd-Frank rules by the end of the summer, the central bank is likely to need more time to complete them.

Although Federal Reserve Board officials promised to unveil a long-awaited package of key Dodd-Frank rules by the end of the summer, the central bank is likely to need more time to complete them.

A Financial Industry Regulatory Authority arbitration panel has ordered Wedbush Inc. and one of its former brokers to pay $2.9 million in damages and fees to an elderly investor who allegedly fell victim to a faulty investment scheme.

Bank regulators have long kept state officials at arm's length. But the Consumer Financial Protection Bureau is forging close relationships with state attorneys general to enforce consumer banking laws.

The legislation may be a hit or miss, depending on whom you ask. What's good in this mixed bag for advisors and what should they be mindful of?

How to make the most of professional relationships without running afoul of regulations.

Section 165 has yet to happen but it should have the biggest impact.