Compliance

A partisan stalemate that partially shut down the U.S. government may lessen the appetite of lawmakers for risking a debt default later this month.

The fate of the Dodd-Frank Act’s ban on banks trading for their own accounts -- one of the final pieces of the U.S. effort to prevent a repeat of the 2008 financial crisis -- may rest with a cluster of economists at the Securities and Exchange Commission.

Douglas Manditch, chairman and chief executive at Empire National Bank, believes community banks are being squeezed by "overzealous" regulation and are feeling pressure to sell.

FINRA is pressing ahead with a controversial new rule that would require brokers to make disclosures about recruitment compensation they receive as an enticement to jump to a new firm.

What can you say without crossing the line and violating a non-solicitation agreement?

Do you know when a customer complaint is reportable?

A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.

The two big wirehouses back the CFP Board’s move to strip out its 'fee-only listings.

All in all, a government shutdown would be a major irritant, but would not have much impact on our clients or commerce in general. The trouble starts if the government defaults on its debt.

As Septmber draws to a close, we've gathered together the most popular stories of the month. Don't miss the top five.

As September draws to a close, we’ve rounded up the most popular stories of the month. Don’t miss the top five.

Two planners who are suing the CFP Board amended their complaint to seek unspecified damages in addition to earlier claims seeking an admission of fault from the board as well as the quashing of a public sanction for calling their practice fee-only.

Executives at mutual fund companies, asset management companies and support providers rated client reporting-which included any reporting that is created for the purpose of distribution to clients-as their top challenge followed closely by risk management in Money Management Executive's third annual Operations Survey.

Bloomberg -- JPMorgan Chase & Co.’s negotiations with federal and state authorities to resolve a series of investigations tied to mortgage bonds are focusing on a potential $11 billion figure, including $4 billion for consumer relief, a person familiar with the talks said.

BNY Mellon has been named to one of the most highly regarded global sustainability indices, the Dow Jones Sustainability Indices (DJSI).

Corporate-bond brokers may face a squeeze on profits as regulators start publishing prices for almost $1 trillion of privately sold debt, if the past is any guide.

SEC Chair Mary Jo White met with leaders of the equities and options exchanges, FINRA the Depository Trust & Clearing Corporation and the Options Clearing Corporation following the August 22 interruption in the trading of NASDAQ-listed securities.

Significantly altered results now appear when users search for fee-only advisors.

While the coming fiscal debate looms in the background -- along with probable accompanying market volatility -- there are a number of other possible legislative and regulatory items that also affect the insurance and advisory industry.

An ex-Merrill Lynch advisor and his client face federal charges after allegedly setting up a network of offshore accounts to conceal an insider trading scheme.