Compliance

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.

The famed manager claimed he was ousted by a "cabal" of executives who wanted a larger share of his bonus.

A new rule addresses double jeopardy, but doesn’t apply in older cases.

The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.

The Lyxor FTSE Italia Mid Cap PIR ETF is the only one compliant with a new Italian law that offers tax breaks for certain investment plans.

Most funds will have until December to comply with the SEC’s new rules, while complexes with more than $1 billion in net assets have until 2019.

Nearly 60% of investors would explore changing firms if forced to switch, according to a J.D. Power study.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to compliance with the SEC's new reporting modernization regulation.

One planner says there's no reasonable basis for a delay, while another says he can't afford all the compliance costs.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

While women are far less likely to engage in misconduct, they're punished much more harshly for any infractions, per a new study.