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.'

A new SEC-approved rule will allow regulators to publicly identify 'restricted firms' in BrokerCheck searches.

The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.

A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.

PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.

The new year brings new regulations and the end of grace periods from federal and self regulators.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.