Law and regulation

The publishing window for Form U5 disclosures will now be three days instead of 15; Changes take effect on Dec. 12.

The former rep was reprimanded for allegedly recommending municipal unit investment trusts to bank customers without understanding the risks and rewards of the products he touted.

Net issuance of U.S. notes and bonds will tumble 26% next year, according to estimates by primary dealers that are obligated to bid at Treasury debt auctions.

Three clever steps advisors can take to propel their firms forward.

The Federal Reserve said it’s setting tougher standards for examiners of the biggest U.S. banks, following criticism by lawmakers that the agency has been captured by the Wall Street firms it supervises.

Some privacy advocates worry that the Cybersecurity Information Sharing Act could do the opposite of what policymakers intended and flush more of consumers' sensitive information out into the open.

The former advisor swindled 22 clients out of their funds, telling them that they were investing in tax liens when he was really using the money to pay his bills, authorities claim.

Arizona Cardinals linebacker Dwight Freeney defeated a bid by Bank of America and its Merrill Lynch unit to dismiss, among others, fraud and negligent misrepresentation claims stemming from the bank's recruitment of him in 2010 to manage his assets.

Chief executives from BofA and PNC raised concerns about the conduct of data aggregators and particularly how well they protect customer data.

Founders are the biggest offenders when it comes to ignoring these procedures.

The New York Department of Financial Services' letter indicating potential cyber rules are prompting concerns that the state's plans could lead to more stringent measures throughout the industry.

BlackRock is winding down a global macro hedge fund after losses and investor redemptions eroded assets.

Franklin Resources, which has more than $800 billion under management, hired Patrick O’Connor from BlackRock to head global ETFs.

The Cybersecurity Information Sharing Act, which has advanced far on Capitol Hill, promises to help businesses and government thwart cybercriminal attacks. But privacy advocates say the bill would make misuse of consumer data even easier.

Advisors using digital advice tools must implement compliance best practices to help mitigate areas of risk that technology — like a double-edged sword — can both cause and combat.

Though a majority of firms agree investments in technology are necessary to remain competitive, just over a quarter are actually making that investment.

The hefty penalty is one result of an SEC investigation into performance claims of the AlphaSector ETF-linked strategy.

Wyatt takes the job after heading OCIE on an interim basis as the commission struggles with advisor exam cycle.

Officials should ask "whether these new robo advisors can be neatly placed within our existing laws," SEC commissioner says.

State alleges Realty Capital Securities employees impersonated shareholders to game proxy votes and advance management agenda.