Suzanne Barlyn

(Reuters) - The U.S. Department of Labor on Tuesday proposed a rule requiring pension plan service providers to offer a guide to help employers navigate disclosures about fees and potential...

(Reuters) - Congress should pass legislation requiring Wall Street's industry-funded watchdog to plug significant gaps in the disclosure system it uses to present brokers' backgrounds to investors, a group of...

(Reuters) - Allegations of bad behavior at the Boca Raton, Florida, office of Wall Street's industry-funded watchdog are igniting concerns about how the Financial Industry Regulatory Authority (FINRA) manages its...

(Reuters) - Financial advisers have good reason to celebrate the coming five-year anniversary of Wall Street's stock market low during the financial crisis: Their returns will soon look spectacular. Since...

(Reuters) - Wall Street's industry-funded watchdog will propose banning settlements in disputes between brokerages and investors that require investors to not oppose erasing details about complaints from brokers' public records,...

(Reuters) - The top U.S. securities regulator says its examiners will finally get around to knocking on doors at some of the thousands of investment advisers it has never met,...

(Reuters) - Wall Street brokerages that hire stockbrokers who have a track record of misconduct should expect to show examiners how they will curb future wrongdoing, the industry's watchdog said...