Feedback can help regulators understand how new requirements will work on the ground or gauge unintended negative consequences. There are very important reasons for stakeholders to weigh in on regulations that will affect them, however, we are seeing a troubling ...

An overhauled marketing regulation for investment advisers ranked as their primary concern related to regulatory compliance in a survey released late last week. The Securities and Exchange Commission approved the new marketing rule in December, and it became effective on ...

When a mob stormed the U.S. Capitol on Jan. 6, it was the strongest attack on the seat of U.S. democracy since British troops set fire to the building in 1814. That searing moment continues to smolder in Washington, D.C. ...

Advisers with more than $100 billion in assets experienced gains in assets under management of more than 14% annually over the past five years, far ahead of smaller advisers, according to a report on the adviser business by Investment Adviser ...