Regulation & Compliance

The CFPB wants to make sure it understands how consumers are using mobile devices to access and manage their finances

Branch-office managers at high risk of 'failure to supervise' infractions

Former House Financial Services Committee Chairman Spencer Bachus (R-Ala.) threw his support behind proposed legislation that would provide funding to the Securities Exchange Commission to boost its investment adviser oversight program...

The Financial Industry Regulatory Authority has assembled a 13-person task force to recommend improvements to the arbitration process. The task force will be charged with enhancing “the transparency, impartiality and efficiency of FINRA...

RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey. The number of RIA firms employing six or more employees focused on compliance jump...

They relieve practitioners of certain onerous requirements and replace them with a more flexible standard of care

How Brian Hamburger became the man behind the curtain in almost every major breakaway deal and helped define the industry

The Financial Industry Regulatory Authority has withdrawn its recruiting bonus disclosure proposal from the Securities Exchange Commission. The rule would have required brokers to disclose the financial incentives they receive when moving firms...

Will FINRA’s proposed rule requiring firms to link to their publicly available BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit...

Advisor advocates are on the offensive after SEC Commissioner Dan Gallagher’s said the commission should look at the possibility of an SRO (self regulatory organization) to provide oversight of RIAs...