Fiduciary is 'really, really, really' tough, commissioner tells U.S. Chamber of Commerce.
Paris Hilton can invest in hedge funds, but I can't.
Finra reports that suitability fines and customer complaints have dropped as the financial crisis has faded further into the rearview. It's not all smooth sailing, however, as new regulatory priorities have emerged.
Regulator will send a proposal to the SEC that could limit those with industry ties from serving on panels.
Time for both agencies to stop dilly-dallying on fiduciary standard.
The practice of dealers' showing clients different prices for the same securities on electronic bond-trading platforms is drawing the scrutiny of the Securities and Exchange Commission, which is concerned that smaller investors are being penalized.
Finra freezes new arbitration cases in Puerto Rico as a flood of claims sends the regulator scrambling to find more arbitrators. Bruce Kelly has the story.
A group of medical professionals are suing their employer, health care provider Novant Health, arguing that the company violated its fiduciary duty by offering excessively costly 401(k) investments and overpaying its providers.
A ban on financial advisers' charging commissions in the United Kingdom has driven investors with small accounts out of the advice market, according to a mutual fund official in Europe, something that Department of Labor fiduciary opponents argue could happen here.
Bowing to industry concern, Finra says it will limit the personal data it collects in new monitoring program
Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. <b><i> <a href="http://www.investmentnews.com/section/video?playerType=Events&bctid=3117749314001&date=20140128">Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.</a> </b></i>
On Monday, the Supreme Court let stand a decision in the 7th U.S. Circuit Court of Appeals that permits employees of the defense contractor to proceed with a class action against the firm. The case will now go to trial.
Ruling hinged on the firm's disclosure of revenue-sharing agreements.
Meanwhile, Ways and Means to send tax extensions bill to full Senate on Thursday.
The broad investing public isn't exactly riveted by the controversy surrounding the so-called “fiduciary standard,” but they should be.
Steep punitive damages awarded to a client show that reps will be forced to pay heavily for their misconduct
Assistant Labor Secretary takes on all questioners about pending re-proposal of DOL fiduciary rule.
Republicans point finger at SEC to deny funding, support SRO
Advisers, take note: Regulator warns that seemingly small or hidden fees can cause a big dent in portfolios over the long haul.
