Regulatory reform

Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.

The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.

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.

The head of the regulator pledged vigorous enforcement of the controversial rule.

A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.

A new report from PIABA says independent advisors are as bad as brokers when it comes to cheating investors and paying awards.

Form CRS was supposed to clear things up, but it’s made things worse, a fiduciary critic says.

Although they praise certain changes in a rule up for SEC approval, client attorneys and researchers say the process has further flaws.

Free investment education and testing for risk tolerance are among the ways financial firms can better reach underserved consumers, former SEC chief Jay Clayton and Operation HOPE’s John Hope Bryant say.

the Labor Department said it wouldn’t enforce Trump-era rules for fund investments or proxy voting, nor will it sanction retirement plans that don’t comply with the regulations.

The department says it is working “to determine how we might improve” the regulation.