Regulatory reform

The market-making firm warns of costs and intrusions into investors' privacy.

The emergency rules for brokers operating out of home offices since the pandemic will expire at the end of June.

Some worry chairman's time in office could leave agency weaker than how he found it.

The broker-dealer group is questioning the Department of Labor's plans to replace a simpler rule adopted by the Trump Administration to determine when workers qualify as direct employees.

Industry group warns that the change to employment status criteria could put up further barriers to Americans' obtaining financial planning services.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.

In wide-ranging interview, CEO James Gorman warns that proposed banking rules would drive up interest rates for first-time homebuyers.

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.

Only 68 tipsters received money in 2023, down from 100 in the previous year.

It's cheers for pro bono advisors and people working to diversify the industry, and jeers for planners who defraud the elderly and big firms that let their regulatory responsibilities slip.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

New requirement calls on firms to report hacks within four days of deciding that the attacks are of material interest to shareholders.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.

A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.