Regulation

  1. All
  2. Articles

Watch breaking news videos and read news updates about Regulation on investmentnews.com

  1. Articles

    'Dissident' candidate defeats Finra's hand-picked nominee for board seat

    Brian Kovack wants to make the organization more effective without antagonizing firms that are doing the right thing

  2. Articles

    Rep. Ann Wagner gets three other House members to call on DOL to withdraw fiduciary proposal

    Rep. Ann Wagner and three colleagues on the House Financial Services Committee are seeking additional signatories on letter to Labor Secretary Thomas Perez.

  1. Articles

    Fired by Merrill, now barred by Finra: Thomas Buck stops here

    Thomas Buck was fired from Bank of America Merrill Lynch in March. Now Finra has barred the former top broker, who had joined RBC Wealth Management.

  2. Articles

    Broker groups step up political spending early in election cycle

    Groups representing brokers and investment firms have stepped up their political spending this year, while adviser advocates have slowed down their campaign contributions.The Securities Industry and Financial Markets Association, the major industry trade organization, contributed $261,198 to

  3. Articles

    'Culture clash' led to $2.5 billion Merrill firing: Lawyer

    A $2.5 billion broker who was fired this month for “inappropriate workplace behavior,” according to employment records, may have been too bullheaded for the thundering herd, his attorney said.

  4. Articles

    Ex-Oppenheimer brokerage chief settles with SEC in penny stock case

    Former head of the private client group Robert Okin agrees to bar and $125,000 payment in settlement; branch manager and broker also accept penalties

  5. Articles

    The countdown for DOL to advance its fiduciary rule ticks loudly

    With the comment period ended and extensive changes requested, the task ahead in the Obama administration's remaining time is formidable.

  6. Articles

    BofA wins dismissal of NFL star Dwight Freeney's $20 million suit

    Bank of America has dodged a high-profile, $20 million lawsuit brought by NFL star Dwight Freeney, who sued the company and his Merrill Lynch adviser, but the star's attorney says he plans to refile.

  7. Articles

    Finra brands DOL fiduciary rule misguided, confusing

    The proposal to reduce conflicts of interest for brokers working with retirement accounts would create overlapping regulations that would baffle advisers and investors, regulator says.

  8. Articles

    LPL cracking down on brokers who collect retirement account fees from family members

    Anticipating an enforcement push, the broker-dealer told brokers that next year they will no longer be able to receive a fee or commission from retirement accounts belonging to family members.

  9. Articles

    SEC's White: Compliance officers not a target of the agency

    Members of the five-person commission have clashed over whether the regulator unfairly cracks down on such professionals.

  10. Articles

    Massachusetts' Galvin fines LPL $250,000 over senior certifications

    Firm agrees to pay up to settle charges that some of its brokers were using titles that did not comply with Massachusetts' senior designation regulations.

  11. Articles

    The toughest job in financial advice: Teaching economics to a presidential contender

    Breakfast with Benjamin: Teaching economics to a presidential contender isn't easy. Unless the economic advisers agree with the preconceived views of the candidates, the relationship can be testy and useless.

  12. Articles

    Real estate crowdfunding trend presents new challenges, opportunities for financial advisers

    The proliferation of digital platforms puts added emphasis on due diligence.

  13. Articles

    Massachusetts regulator William Galvin charges Securities America over 'bait and switch' ads targeting elderly

    Massachusetts' top securities cop has charged the firm with failure to supervise a broker who allegedly used deceptive advertising on his radio show, exploiting the dangers of Alzheimer's to gain access to elderly clients.