Kenneth Corbin

Chairwoman Mary Jo White tells lawmakers that a uniform standard for advisors and broker-dealers remains a priority, but that says it's a long slog.

Worries grow over retirement security, according to new research from IRI.

Fiduciary advocates argue that the compliance burden from the best-interest contract exemption and other new provisions will be modest and won't materially affect how they serve clients.

Head of Wall Street trade group calls Labor Department's final fiduciary rule an "exceedingly prescriptive" regulation that will tie up compliance departments for months.

A recent FINRA action against Raymond James is the latest evidence of competitive tensions in the brokerage sector spilling into alleged privacy violations.

The wirehouse was seeking to resolve class-action lawsuit alleging labor-law violations in advisor trainee program.

SEC Chairwoman tells lawmakers that a uniform fiduciary proposal is advancing and appeals for a funding increase that would be used to beef up advisor exams.

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

Among the measures commission officials say they're working on is a third-party examination framework.