Regulation

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  1. Articles

    Tim Geithner spills the beans on how he navigated the financial crisis

    Breakfast with Benjamin: Former Treasury Secretary Timothy Geithner spills the beans on how he navigated the financial crisis.

  2. Articles

    UBS ordered to pay investor $1 million as Puerto Rico claims roll in

    Brokers allegedly pushed conservative investor to put 100% of assets into risky proprietary bond funds.

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    SEC might require more disclosure about SMAs and social media

    Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities

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    Missouri Rep. Ann Wagner wages 'war' against DOL fiduciary

    Rep. Ann Wagner, a leading opponent of the agency's proposal to raise investment-advice standards for brokers working with retirement accounts is pursuing an aggressive strategy to stop the rule.

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    SEC's whistleblower program is a game changer

    The following is an edited transcript of an April 30 speech by Securities and Exchange Commission Chairwoman Mary Jo White before the Ray Garrett Jr. Corporate and Securities Law Institute at Northwestern University School of Law in Chicago.

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    Brokers back regulator's tough stance on suitability

    Brokers have endorsed a move by Finra to toughen sanctions for violations of the suitability rule even as they acknowledged the standard leaves room for interpretation.

  5. Articles

    Top GOP senators pressure DOL on fiduciary-duty timetable

    GOP senators, including those with oversight of the agency, are among three dozen co-signers of a letter to Labor Secretary Thomas Perez seeking more time to comment.

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    Finra toughens its sanctions on suitability violations

    The self-regulator suggest barring offenders, expelling more firms, upping suspensions to two years.

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    Brokerage industry lobbying dollars dwarf investment advisers'

    The brokerage industry's lobbying spending dwarfed advisers' in the first quarter, with the DOL fiduciary rule a primary focus.

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    Vanguard's new ambassador to advisers: We've earned your trust

    Thomas M. Rampulla's return to the U.S. comes after the firm recast itself as a patron of an industry that once saw it as a threat.

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    SEC names David Grim director of Division of Investment Management

    20-year agency vet takes helm after serving as acting chief since February, when Norm Champ left.

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    SEC considers making use of in-house judges more transparent

    Chairwoman Mary Jo White says may float proposal that would outline why agency sends cases to its judges.

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    Schwab CEO Bettinger: Better for SEC to follow DOL fiduciary than diverge

    He's afraid that DOL and SEC could end up with two different standards, and that would confuse the public.

  12. Articles

    Investor confusion about fiduciary duty not likely to be resolved by proposed DOL rule

    New study finds that clients believe their financial advisers act in their best interests, even when they aren't required to.

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    LPL Financial fined $11.7 million for 'widespread supervisory failures'

    Citing 'widespread supervisory failures,' Finra says the firm failed to properly supervise sales of complex products, including certain ETFs, variable annuities and non-traded REITs.