Kenneth Corbin

A new campaign, which highlights the toll investors may face from conflicted retirement advice, is designed to win grass-roots and government support for the regulation.

The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.

With an eye toward potential repeal, Alexander Acosta told senators that he will abide by President Trump's executive memorandum and review the rule's impact.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

"To me, that rule, it was about one thing and it was about enabling trial lawyers to increase profits,” acting Chairman Michael Piwowar says.

Caution to advisers: If you cop a deal with the SEC for leniency, be sure to hold up your end of the bargain.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.

Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.

In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.

A Senate bill would provide liability protections for advisors who report suspected abuse of senior clients.

There are more CFPs over 70 than there are under 30. The board's Center for Financial Planning looks to fix that with new diversity and internship initiatives.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

Rule supporters say they intend to continue making their case on Capitol Hill.

CFP Board and other supporters see the Labor Department's rule on retirement advice under assault, digging in for fight against administrative or legislative efforts to delay the rule.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

Millions in clients' funds was steered into a sports ticketing business.

The legal setback for the rule's foes still leaves three ongoing court challenges, as well as an uncertain future after Trump takes office.