Regulation

More than 95% of comment letters submitted were opposed to the Labor Department’s proposed rule, according to a new analysis.

From regulations to taxes, big changes could be in the offing.

It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.

The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.

Yes, they’ll be going up in September — but not as much as you may have heard.

With employees working remotely, firms may need to adapt their procedures to deal with heightened fraud risks outside of company systems.

The executive shuffle at the company continues as Credit Suisse America’s Paula Dominick is hired to replace Mike Roemer as chief compliance officer. It also hired or promoted four line-of-business chief risk officers and an enterprise testing leader.

While Guinness Atkinson pursues the first full mutual fund-to-ETF conversion, similar moves have begun elsewhere in the fund industry.

The firm will also pay a penalty and offer to buy back variable annuities the former broker sold to 21 other investors.

During rapid growth, the firm allegedly failed to detect a cascade of red flags.