Compliance

Strategists cite inflation under-pricing in the U.S. economy, waning foreign demand and the Fed's bid to tighten its monetary stance faster than expected.

Top eMoney executives said investments it has made to comply with the Labor Department’s fiduciary regulation will likely stick regardless of its fate.

Prospects for an outright shrinkage of the central bank’s roughly $4.5 trillion ledger didn’t discourage markets one bit — at least on Wednesday.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

The investment manager has filed an initial registration statement with the SEC for eight funds, sub-advised by two affiliates of Legg Mason.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

RIAs must start disclosing more about bad actors, auditors and asset breakdowns.

A report from the bank concludes that payouts on the country's securities, while difficult to determine, are likely to far exceed current pricing.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

The strategist, who has long criticized the BRIC idea, changed his views as the Fed appears to have capped long-term U.S. yields, even as it raises rates.

Companies in the Russell 2000 index are among the biggest beneficiaries from President Trump's growth and tax reform agenda, and a stronger dollar.

Increased longevity will challenge the performance and use of products, said Sri Reddy, head of full service investments at Prudential Retirement.

The regulator suspended the rep for two months and fined him $5,000 for keeping the firm in the dark about his dry-cleaning business.

A federal judge issued a restraining order and a temporary asset freeze against the former broker.

Commission-based investors want to keep their accounts, regardless of the fiduciary rule.

"People like you ought to be held to a higher standard because you know better," a judge tells former adviser Charles Banks.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

Big firms are asking for more time, while investors and even some advisers are asking the Labor Department to keep the rule intact.

Active managers face headwinds despite an overall positive outlook for the U.S. economy that’s taken hold since the election of President Trump.