OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

With a divided government, some proposals are bound to change as part of the give-and-take of the legislative process, writes Skip Schweiss.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

With a Democrat set to take the White House in January, the agenda for agencies like the CFPB could undergo a rapid transformation, housing finance reform could be turned on its head and progressive banking ideas that were unthinkable over the past four years could gain traction.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

Regardless of who wins the White House, the scope for tax legislation in the near term will be limited.

The uncertainty could lead to market volatility, delayed stimulus negotiations and complicate planning for a potentially new regulatory environment.

What different outcomes could mean for financial planners and their clients.

The rule has faced a host of criticism from investors, environmentalists, asset managers and others.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

CEO Jamie Price says the change will reduce potential conflicts of interest related to transaction fees and come with lower prices in wrap accounts.

The legislation would encourage saving earlier by enrolling employees automatically in their company’s 401(k) plan, whenever a new plan is created.

In the first episode of the five-part documentary series, we look at how disparities in net worth and mortgage discrimination impact Black home ownership — and why it's impossible to close the gaps without attacking systemic racism.

Although in-person hearings aren’t banned outright, none have taken place since the onset of the coronavirus pandemic.

The former J.W. Cole advisor’s practice allegedly sold more than $40 million worth of unsuitable and unregistered promissory notes.

More than 130 fund management and financial advisory firms have written letters opposing the plan. And the complaints keep coming.

A recent study suggests sales of "expensive" VAs fell as a result of the vacated rule. But there are other factors at play, writes Raymond James' Scott Stolz.

The firm determined that the staffers defrauded the SBA “by making false representations in applying for coronavirus relief funds for themselves.”

At the center is a pledge not to increase rates on those making less than $400,000, and that various changes would only impact earnings above the threshold.