FSI

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.

The insurgents won seats allotted to represent small and large firms.

Think New Jersey’s proposed rule doesn’t apply to you? Think again.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

In an unusually frank discussion, women executives from five major firms urged the industry to get involved in educating young people about wealth management.

The asset manager and custodial giant found positive correlations in several metrics for companies that focus on inclusion.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.

Leading trade groups counter a request from AARP and three states for fiduciary rehearing, in hopes that the circuit court's rejection will be the last word on the regulation.

Focus turns to the SEC as it considers creating its own higher standard of client care.

Investor advocates laud regulator's newest steps to address the longstanding problem.

Robert Moore’s view sets him apart from other executives who argue that new talent will replace low producers.

Industry leaders see an opportunity to reshape debates that determine wealth management's future.