Regulatory reform

Two factors are prompting an upsurge in career changes.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

The move suggests that the SEC’s proposed Regulation Best Interest isn’t strong enough for some.

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.