Regulatory reform

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.