Regulatory reform

The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.

Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.

In the 1960s, iconoclastic reformers started a campaign to kill fixed brokerage fees. Today, we’re witnessing the logical culmination of that effort.

Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.

BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.

Trading venues have clubbed together to attack the latest European effort to curb what they charge clients for data.

Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

The insurgents won seats allotted to represent small and large firms.

Brokerage shops get to weigh in later this month on challengers promising reforms at the industry regulator.

The panel has had 13 public meetings since the Massachusetts senator’s last appearance, in May.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

Critical comments about Wall Street in the first debates signal an unfriendly political environment. Here are some leading candidates’ financial policy views.

Think New Jersey’s proposed rule doesn’t apply to you? Think again.