Kenneth Corbin

The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.

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.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

A new survey finds that investors prize full and upfront disclosures about fees and conflicts of interest, but advisors fall short.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.