Regulation

  1. All
  2. Articles

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

  1. Articles

    Pimco Total Return takes big hit

    Breakfast with Benjamin: Gross leaves and the cash follows. Plus: A new robo-adviser enters the market; Schorsch at it again, with a twist; corporations are healthy, healthy, healthy; oil prices are falling; and Elon Musk's next move.

  2. Articles

    Biotechs riding high as Ebola diagnosed in the U.S.

    Breakfast with Benjamin: Biotechs riding high. Plus: Reading into the market's Halloween indicator, J.P. Morgan steps in another MBS mess, Ford looks like a preview of things to come for stocks, and investing like rich folks, even if you aren't rich yet.

  1. Articles

    Finra pushes ahead with controversial data collection program

    Industry groups organize to have a stronger voice in shaping the CARDS rule going forward.

  2. Articles

    Don't overlook the housing recovery

    Breakfast with Benjamin: Remember housing stocks? You should. Plus: How Pimco stepped in it, academics take on high-frequency trading, the bad math behind climate-change regs, and men are better retirement savers than women.

  3. Articles

    Investment Adviser Association names new head

    Investment Adviser Association names its general counsel, Karen Barr, as its president and CEO.

  4. Articles

    Yellen to the markets: Don't say you weren't warned

    Midweek Breakfast with Benjamin: Yellen warned us. Plus: SEC probes Pimco ETF over asset pricing, America's 401(k)s are failing investors, and how Obama's attack on corporate inversions flunks basic math.

  5. Articles

    Market risk is ignored by invincible investors

    Breakfast with Benjamin: A real risk thanks to the bull market: investors' sense of invincibility, plus El-Erian dishes on Pimco, second-guessing Calpers, and more.

  6. Articles

    Beatty takes reins of NASAA, focuses on protecting senior investors

    Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.

  7. Articles

    LPL wants bigger voice in Washington

    The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.

  8. Articles

    Bill Gross rides derivatives around Fed policy

    Breakfast with Benjamin: The Bond King levers up. Plus: There is nothing smooth about the Fed's next move, the first nail in hedge funds' coffin and more.

  9. Articles

    SEC exam sweep reveals adviser cyber-efforts

    Most advisers are assessing electronic security, but approaches and frequency vary widely.

  10. Articles

    State regulators on one-year deadline to revise broker-fee disclosures

    NASAA working group not going to draw conclusions about whether fees are too high, just how to make them more transparent.

  11. Articles

    Finra plans to revive controversial broker compensation proposal

    The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.

  12. Articles

    Small and midsize advisory firms not targeted by cybercrooks

    Though data breaches are rare, state regulators worry they are on the uptick, and firms are preparing.

  13. Articles

    Foot-dragging on rules harms investors

    Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.