Regulation

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  1. Articles

    Bond math is about to inflict some real pain on fixed-income investors

    Breakfast with Benjamin: Fixed-income investors are starting to feel the painful realities of bond math.

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    SEC members split on whether agency unfairly targets compliance officers

    Add a debate about whether chief compliance officers are unfairly being targeted by regulators to the list of issues dividing members of the Securities and Exchange Commission.Two weeks ago, Commissioner Daniel Gallagher issued a dissent to two recent cases that the agency brought against

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    Fidelity launches platform to connect plan sponsors, advisers and third-party fiduciaries

    Third-Party Fiduciary Services charges a 3 bps fee to enable retirement plans and advisers to outsource their fiduciary responsibilities.

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    Finra income soars due to increased fines, rising regulatory fees

    A combination of increased revenue, including a doubling of money raised through fines, and lower expenses helped Finra significantly increase net income last year.

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    Perez calls out variable annuities in argument for DOL fiduciary rule

    Using an anecdote critical of VAs, Thomas Perez says most people are better served by simple investments.

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    RIAs could be required to report suspected money laundering

    Proposal from FinCEN would have investment advisers monitor and report questionable activity under the Bank Secrecy Act.

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    Finra homes in on supervisory failures tied to rogue brokers

    Sending a message that brokerage firms need to step up their monitoring, Finra settled with Morgan Stanley and Scottrade for failing to supervise wire transfers.

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    Finra arbitration panel hits Robert W. Baird & Co. with $17.8 million penalty

    The asset and wealth management firm was accused of unfair competition and solicitation.

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    MetLife files suit to fight 'too big to fail' status

    Breakfast with Benjamin: The firm files suit against the Financial Stability Oversight Council, charging them with acting as 'judge, jury and executioner.'

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    DOL fiduciary rule in crosshairs of new spending bill

    House measure would forbid Labor Department from spending any funds to finalize or implement the rule.

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    What a Jeb Bush presidency would mean for advisers

    Financial planners are mixed on the presidential contender, citing his fiscal and social conservatism.

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    It's time for financial planners to find our voice

    FPA's 2015 president says too many advisers are silent on vital issues that affect their and their clients' livelihoods.

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    Finra files complaint against broker for trying to inherit $1.8M from client with Alzheimer's

    John Waszolek allegedly took advantage of the client's lack of capacity to be named beneficiary of her estate, Finra said.

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    Latest Obamacare ruling could spark a sell-off in health care sector stocks

    If you haven't yet hitched a ride on the high-flying health care sector rally, there's still hope in the form of a potential pullback from an upcoming Supreme Court ruling that could trigger some near-term volatility. Even some staunch health care sector bulls who have already enjoyed the

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    RIAs join brokers in promoting securities-backed lending

    The practice is growing quickly even beyond wirehouses, but some are concerned about the risks and conflicts of interest.