Compliance

The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.

Seven years after declaring a truce in a battle with large banks over tracking their insured deposits, the FDIC reopened the fight Tuesday with a new proposal that would take an even tougher stance.

The case complaint is the latest to portray America’s all-electronic stock market as vulnerable to predators with software.

Adding rollovers and IRAs to the definition of fiduciary duties, the Department of Labor's new proposed rule could have a huge impact on firms in a fast-growing and profitable segment of the retirement savings industry.

BlackRock agreed to pay $12 million to settle U.S. regulatory claims that it failed to disclose a conflict of interest of a top portfolio manager.

BlackRock agreed to pay $12 million to settle U.S. regulatory claims that it failed to disclose a conflict of interest of a top portfolio manager.

Former Federal Reserve Board Chairman Paul Volcker proposed a massive shake-up of the U.S. financial regulatory system on Monday that would consolidate oversight into three super regulators.

Behind the accounting errors that knocked $4 billion off American Realty Capital Properties' market value was a hidden scheme that generated more than $900 million in managers’ fees and bonuses, investors said in a lawsuit against the company.

The Department of Labor's latest proposal should be fully digested and evaluated before public comments are sought by the agency.

An arbitration panel granted the wirehouse's request for damages for breach of contract, but the award fell short of the original $1.4 million the firm sought.

Lee D. Weiss of Family Endowment Partners put millions of client money into a quasi-Ponzi scheme, lawyer says.

Bank of America and its Merrill Lynch unit were sued by two former financial-advisor trainees who claim they weren’t paid overtime for long days and weekend work.

There's a lot advisors can do -- and a lot they aren't doing -- to better serve vulnerable elders, according to a new report released jointly by SEC and FINRA.

Michael J. Oppenheim allegedly used his position as a private client advisor to persuade at least two customers to withdraw millions out of their accounts on the promise the money would be invested in muni bonds.

Federal authorities for the first time have directly included rollovers and IRAs in their latest fiduciary standard proposal, and that could have a huge impact on firms in a fast-growing and profitable segment of the retirement savings industry.

Does the SEC's proposed budget reveal where the agency will be looking in the coming two years?

The giant IBD's lingering compliance issues should be "all done in 2015," says chairman and CEO Mark Casady.

U.S. asset-management executives met with international regulators to make the case that their firms don’t pose a risk to global financial stability.

Advocates for a new, stricter standard say momentum is on their side, while opponents argue that the rule-making process is too hasty.

As the DoL proposal enters the public comment period, here are two things 401(k) professionals and advisors concerned with how to comply should keep in mind.