More in Regulation & Compliance

  • Jun 15, 2015

    Cost of Litigation for Firms Totals $178B Since Crisis

    The cost of complying with regulations is skyrocketing. Banks and financial institutions in the U.S. and Europe have paid out $178 billion in litigation costs since the financial crisis, according to data compiled by the Boston Consulting Group....More
  • Jun 4, 2015

    The 'Game Has Changed': Candid Comments on the Reality of DOL Fiduciary Fight

    The financial services industry needs to accept the reality of the Department of Labor's fiduciary proposal and move onto figuring out how to live with it, advisors and industry trade associations said at Pershing INSITE 2015....More
  • Jun 3, 2015

    SIFMA: DOL Fiduciary Proposal “Unworkable”

    SIFMA reiterated its opposition to the Department of Labor’s fiduciary proposal on Wednesday, calling the proposed restrictions “unworkable.”...More
  • May 28, 2015

    FINRA Checking Up on Advisors' Lifestyles

    If your paycheck is wildly out of whack with your lifestyle, your firm’s compliance department and regulators may come knocking....More
  • May 28, 2015

    Next Regulators Will Be Asking to See Text Messages

    Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text messages could be commonplace....More
  • May 21, 2015

    Casady: Better DOL Rule Needs Only 'A Couple' Of Improvements

    The head of LPL Financial praised the Department of Labor’s changes in its re-proposed fiduciary rule aimed at financial advisors, saying “just a couple of items to improve from here.”...More
  • May 4, 2015
    The Daily Brief

    Millennials, Boomers Not So Different After All

    Millennials and baby boomers may not have a lot in common, but when it comes to investing they're more alike than many think....More
  • Apr 10, 2015
    The Daily Brief

    Americans Steer Clear of Stocks

    Over half of Americans (52 percent) are not currently investing in stocks, according to a new study by

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