From 2008 to 2013, Merrill hid that the fact that client requests to buy and sell stock were being handled by proprietary trading firms and other outside entities, the Securities and Exchange Commission said Tuesday.
FINRA is overhauling its registration and disclosure programs, advisors aren’t worried about market volatility and how to talk to clients about betting on the World Cup.
"Cursed" is how one commentator described the early drafts of the commission's proposed disclosure forms, a key component of the new best interest standard for brokers
The SEC’s best interest proposal fails to consider the foundations upon which investment recommendations are made—conflict-free securities research.
The DOL didn’t exercise the last legal recourse it had to defend the controversial rule, effectively ending the short life of the Obama-era regulation.
If you can correctly answer 10 of the following 12 questions, count yourself ahead of the game.
The Federal Reserve Board, now led by Trump appointees, will meet Wednesday to start rolling back the Volcker Rule.
The self-regulatory organization is bringing economists into the rulemaking process and making changes to some existing rules.
The SEC chairman said the agency’s proposed rules around improved disclosures and a best interest standard for broker/dealers and advisors are meant to meet the reasonable expectations of clients, regardless of the business model.
For the second time, a three-judge panel ruled against the state attorneys general of New York, California and Oregon to intervene in the case against the DOL fiduciary rule.
