Compliance

Three-quarters of economist surveyed by Bloomberg in August say the Fed will lift the upper bound of its target rate to 0.5 % at its Sept. 16-17 meeting.

The firm suffered another arbitration loss this week to clients seeking damages related to the firm's closed-end funds of Puerto Rico municipal bonds.

Industry arguments against the DoL’s fiduciary rule proposal do not consider the digital revolution in financial advice.

Banks and credit unions have traded barbs for years with much of the banks' discontent aimed at credit unions' tax exemption.

Getting kicked out of the industry doesn't mean an end to payments from the sale of a book of clients. Plus, knowing whether FINRA's suitability rule applies to foreign clients.

The Board also sanctioned 19 other advisors, including one who allegedly lied about taking an exam on behalf of another advisor.

Investment managers facing tough questions from regulators over what caused trading disruptions for hundreds of exchange-traded funds this week said they got hit by a double whammy.

Two former advisors allege they were punished and eventually fired for reporting misconduct including trainees and interns entering trades as well as misleading clients during cold calls.

Mutual fund giant Fidelity Investments is warning deflationary pressures in the U.S. are building.

RIAs can be an easy entry point for organizations looking to move dirty money and avoid other financial entities that have formal AML procedures in place, says FinCEN.

The Wall Street regulator hit Charles Schwab with the penalty for net capital deficiencies and supervisory failures.

The bond market is sending a warning to the Federal Reserve: a false step could leave the U.S. bogged down in a disinflationary quagmire well into the next decade.

The advisor, who worked at U.S. Bank, claimed that he was fired in retaliation for complaining about a co-worker who he felt made unsuitable investments for the advisor's 94-year-old client.

With retirement savings plans directly in focus, the Labor Department is one step closer to implementing a new fiduciary standard whose scope heartens supporters and troubles critics.

Advisors, brokers and other industry insiders weighed in on the Labor Department's fiduciary proposal, laying out what they say are the benefits and pitfalls of the forthcoming rule.

Fiduciary advocates question the math behind the opponents' estimate, calling it an "Alice in Wonderland report" without backing.

Marzano Capital Group joins LPL-affiliated recruiting firm Independent Advisor Alliance.

Asset managers took lead roles to vehemently oppose the DoL's fiduciary standard proposal. In the course of the Department's hearings, some representatives fared better than others under scrutiny.

The government aims to reduce the "magnitude of the injury" to clients from conflicted advice, Timothy Hauser, the official who chaired the hearings on Capitol Hill, tells Financial Planning.

A "cautionary" note on the third day of hearings after DoL officials quiz industry attorney in the slippery task of trying to ascertain details of common commission sales.