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Finra and Nasaa have been engaged in preliminary discussions about whether to revamp the process that most brokers use for requesting "expungements."
An investment advisor pleads guilty to fraud for operating a securities cherry-picking scheme.
Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
Global regulators have written the first global capital rule for insurers, marking a key milestone in efforts since the 2007-09 financial crisis.
U.S. regulators said they plan to deny proposals for a new breed of actively managed ETFs that would be allowed to keep their holdings under wraps for months at a time.
For the second day in a row, a top SEC executive stressed that protecting baby boomer retirees is a key objective of the agency.
Big financial institutions may give cyber-security assistance to financial advisors and other companies in their supply chains, said the head of the FBI's cyber division.
A top priority next year for SEC examiners of RIA firms will be what kind of recommendations baby-boomer clients get when they roll over retirement plans into IRAs, says an agency official.
The Financial Planning Coalition says there are insufficient regulations for financial planners and members of the public are the ones being hurt because of it.
UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.
Financial Advisor Blogs
Portfolio Manager Insights
Advisors can use less correlated investments to help clients protect against losses, especially during the draw-down phase. + Read more
The founder of WorldClinic assures readers that the chances of others contracting Ebola from the doctor who is infected is slim to none. + Read more