Regulatory reform

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.

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

“The board's record of summarily approving mergers raises doubts about whether it will serve as a meaningful check on this consolidation that creates a new too big to fail bank,” Sen. Elizabeth Warren said in a letter to the Fed.

House Financial Services Chairwoman Maxine Waters said the merger is a direct result of a regulatory relief bill that was signed into law in May.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

The certification could stop being the gold standard and become the requirement, if only the regulatory path were clearer.

Why new rules won’t necessarily prevent bad behavior.

Like everything else on Wall Street, this dispute is about the bottom line.

The regulator is living up to its promise to overhaul exams and engage more — and one potential rule in the works would be “monumental," according to the IBD.