Ash Waechter/iStock/Thinkstock Companies that take responsibility for their poor financial performance tend to see a later boost in their stock price, while those that blame third parties, like labor unions, the government or the economy, expe...

Mandated disclosures are tricky to get right; if written in a way consumers can easily understand, there is a good chance they aren't disclosing enough. Too much detail and legal jargon, and consumers' eyes pass right over them. ...

Despite all of the hand wringing among advisors and regulators about the need to attract young talent, few advisory firms seem to be the kind of place where millennials want to work...

The Financial Industry Regulatory Authority released on Wednesday new regulations aimed at enhancing investors' understanding of the impact of their broker changing firms and what that would mean to them...

Regulators are increasingly requesting a wider range of communication records from firms when conducting a regulatory exam. And while email is still by far the most commonly requested communication records, that is quickly changing, says Smarsh C...

Rep. French Hill (R-Ark.), a member of the House Financial Services Committee and a former broker, threw his support behind Financial Industry Regulatory Authority as the examiner of registered investment advisors, calling the self-regulator the ...

The Financial Industry Regulatory Authority released a revised proposal requiring brokers to include a hyperlink to the regulator's BrokerCheck tool on their homepages and any other sites that include their professional profiles...

Today’s securities arbitration system fairly and optimally balances the interests of both parties and thus provides each with important benefits and protections.

The head of the Financial Industry Regulatory Authority criticized the Department of Labor’s fiduciary proposal on Wednesday, saying the industry would be better off moving forward under a  “best interest standard...

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