Regulatory reform

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

The state regulator says its proposal is necessary after the commission failed to craft a uniform fiduciary standard.

The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.

The regulations cut back on some forms of conflicted compensation. Here's what else to expect.

The new rule package will require firms to take a hard look at their compliance programs.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

It could be the most significant update to advisor standards of conduct in years.

The rule requires greater public input, an industry trade group says.

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.