Regulatory reform

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.

James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'