Regulatory reform

The push to regulate non-traded REITs lurks behind new concerns about liquidity.

The new federal regulations will allow, but not require, 401(k) fiduciaries to take environmental, social and governance principles into account.

Regulators' amendment would prevent dealers who have been found liable from even trying to get records erased.

CFP Board is seeking to preserve "adversarial principles" in proceedings before its disciplinary and ethics commission.

Though an oft-cited index shows that 16 non-traded REITs gained 71.1% over the past five years, regulators appear unimpressed.

Shareholder documents, now at least hundreds of page long, will have to limit themselves to portfolio, performance and expense information.

An industry group contends that the commission is overestimating RIAs' control over outsourced services.

Board members and executives from FSI share updates on its legislative agenda, their thoughts on private equity investing and insights into other key industry topics.

Some of the largest firms and their most stringent critics are wondering what Gary Gensler’s team will do in 2022 with Reg BI.

The regulator’s frequent reviews display shortcomings in three different areas, according to a new GAO report.