Compliance

State alleges Realty Capital Securities employees impersonated shareholders to game proxy votes and advance management agenda.

The agency is using data analytics to scrutinize broker-dealers and advisors who are recommending an increasingly complex array of products.

Attorney Alan Foxman answers readers most pressing regulatory and compliance questions, including from one advisor who ran into troubles after being given authorization by a client to make trades on their behalf.

Indian regulators plan to allow online marketplaces such as Flipkart and Amazon.com to offer funds alongside other products

United Capital anticipates adding $1.5 billion in assets in buying Select Financial Group and PSA Insurance & Financial Services.

The restriction prevents clients from selling at a loss and buying back the same asset within 30 days. But there are strategies advisors can employ to use the rule to their clients’ advantage.

Treasury Secretary Jacob Lew announced that the administration's "myRA" retirement plan will be available nationwide, with an expanded menu of funding options.

Already gaining in popularity among advisors, low-cost annuities could receive a further boost if the Department of Labor's fiduciary proposal goes into effect.

BlackRock has agreed to purchase an $87 billion money-market fund business from Bank of America as it builds scale in an industry grappling with new regulations.

Just as robos seek to bring lower-income, self-directed investors into the advisory realm, the administration is looking to extend the retirement safety net through no-fee, no-risk savings plan.

Advisors gasped when they heard that the proposal requires firms to have a website revealing information previously considered confidential.

Federal regulatory council indicates that it is working toward a comprehensive review of the asset management industry as the SEC pushes separate rulemakings.

The fiduciary rule would significantly change how advisors are compensated and is part of a global trend to increase investor protection, researchers say.

The self-regulatory organization plans an internal and external search to replace the industry veteran.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including one advisor who's making a move and wondering what data can information can go with him.

Some of the biggest computerized-trading firms are facing obstacles as they try to move into interest-rate swaps.

Edward Jones and four other firms were sanctioned by FINRA for overcharging some clients on mutual fund sales.

Fidelity "served as a haven from regulatory oversight as it ignored blatant unregistered investment advisory activity,” according to Massachusetts' top securities regulator.

Secretary of Labor Thomas Perez said staff members have industry experience, in response to recent criticism, and emphasized that the department has been actively engaging and listening to critics as well as supporters of its proposed fiduciary rule.

The rep was expelled for failing to cooperate with a FINRA investigation into allegations that she misappropriated funds from a retail bank customer's account.