Regulation and compliance
Regulation and compliance
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A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.
March 6 -
A new GAO study adds more fuel to the research suggesting the agency should be probing more rich households. Tax pros say those efforts will have big implications.
February 29 -
A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.
February 28 -
Planners who recommend the increasingly popular charitable vehicles could face penalties for what's currently a pretty common practice in the industry, experts say.
February 26 -
The Fed's decision to keep interest rates unchanged and FINRA's battle for its continued existence are among the developments on Capitol Hill that are critical to wealth managers.
February 21 -
The CFA Institute analyzed 110 videos and other social media posts. Here's what financial advisors and other investment professionals should know.
February 20 -
Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.
February 20 -
Crafting and administering an effective RIA compliance policy is hard but essential for firms that seek to avoid fines and reputational damage.
February 20 -
Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.
February 16 -
Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."
February 14 -
The proposal comes as regulators say they've seen a fourfold increase in suspicious activity tied to RIAs.
February 14 -
The IRS wants to help businesses know when they don't qualify for an Employee Retention Credit.
February 13 -
With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.
February 13 -
The Financial Crimes Enforcement Network Tuesday proposed a rule to include investment advisors in the compliance regime under the Bank Secrecy Act, aiming to close regulatory gaps exploited by criminals.
February 13 -
The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.
February 12 -
The market-making firm warns of costs and intrusions into investors' privacy.
February 12 -
Understanding new retirement regulations and utilizing technology will help your firm grow.
February 12 -
A provision paying for breaks for parents and business owners has earned widespread praise, but an expert says financial advisors should be on alert.
February 9 -
A Republican running for the U.S. House accused the Wall Street powerhouse of violating its own rules by not letting her step aside to conduct a campaign. A FINRA panel agreed.
February 8 -
In correspondence with Rep. Andy Barr, R-Ky., the Federal Reserve and Office of the Comptroller of the Currency said the Securities and Exchange Commission's proposed safeguarding rule could change banks' custody businesses.
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