Politics

One provision of the six-part package applies to all registered advisory firms, and compliance experts say the guidelines could prove costly for smaller companies.

The Wall Street regulator tweaked how it handles frequent inspections after the GAO uncovered shortcomings in its practices two years ago.

The rating agency's release ESG credit indicators for states and territories last year was blasted by GOP officials for being politicized, vague, and confusing.

The challenges and opportunities of required Roth contributions are taking a backseat for now to legislative and operational messes from the Secure 2.0 law.

Compliance experts warn that financial advisors should prepare for new requirements relating to ESG, custody, cybersecurity, private funds and many other issues.

Only 15% of respondents reported seeking financial advice from a financial advisor.

The GAO's latest look at the investment accounts for certain public and nonprofit employees offered potential methods for reducing cost and complexity.

The CFP certification costs thousands to finance. Industry groups hope that a new bill will make it attainable for more people.

Republicans on the Financial Services Committee advanced four bills related to investing policy, even as some question the potential impact of their efforts.

Alfred Edmond Jr., senior vice president and executive editor of Black Enterprise, is confident DEI is here to stay.