Regulatory reform

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.

The SEC predictably came up with regulations that can only be described as a win for brokers.