It's time for the SEC to take a hard look at its third-party exam process and consider ways to streamline it.
Labor Secretary aims to assure industry rule will be 'much more informed' than last attempt, which faced fierce protest and was withdrawn in 2011.
Opposing Labor Department's fiduciary proposal tops the list of legislative and regulatory issues the trade group is focusing on.
Processes must be in place to supervise the compilation of a client's entire financial life in one document.
Advice industry mixed on the push for a New York bill to clearly distinguish advisers from brokers.
Only penalties that make repeat offenders in the financial arena feel serious heat will deter illegal behavior.
Advisers, experts weigh in on DOL fiduciary rule's prospects and what it might end up looking like.
An SEC official, whose job is to represent retail investors, has warned the agency not to water down current investment-advice standards as it considers a rule to raise the bar for brokers.
Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.
Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.
It's about time Mary Jo White took the helm and steered the agenda of this supposedly nonpartisan body beyond its present partisan split on fiduciary.
Massachusetts' top securities cop has filed a lawsuit to stop a recently adopted rule he claims curtails state oversight of stock offerings by small and emerging companies.
Loss of linchpin backer adds to F-Squared's struggle following admissions it misled investors on performance.
Howard B. Present “acted in good faith” when he led F-Squared Investments, the firm that said it misled clients about its investing track record during his tenure, lawyers for the former executive said in court filings.
Regardless of how the high court rules, ongoing investment monitoring will be here to stay.
New Hampshire Bureau of Securities Regulation says B-Ds do not 'fully understand' how to comply with telemarketing rules.
David Cacchione almost got a second chance at a career in the securities industry through a registered investment adviser.
Girard Secuirities is being audited by the SEC, which is focusing on the firm's supervision of branch offices. CEO suggests move is part of larger investigation.
