Kenneth Corbin

What's driving this new interest? Follow the money: U.S. retirement assets totaled $23 trillion in the first quarter of this year.

Opponents argue that the long time horizon and heated controversy could convince the White House to back away from the retirement plan proposal.

Amid an outreach overhaul, the agency's Division of Investment Management says it wants asset managers to give advisors and investors a 'clear and concise' picture of their investment strategies.

Financial products and markets are so thoroughly intertwined that regulators need to take a more holistic approach than they have in the past.

New options could stake out a middle ground between a lump-sum payout from a 401(k) and putting the entire plan into an annuity.

On first Capitol Hill advocacy day, FPA advisors are meeting with policymakers to push for greater fiduciary oversight and regulation.

The SEC’s enforcement division has tightened oversight of advisors by focusing on some specific, often-times arcane practice areas.

Most boomers want more from their post-career years than cruises and golf, a Merrill Lynch survey finds. Advisors should take note as they help clients plan for life after their primary career.

With new regulations on the horizon, a top FINRA official highlights the agency's efforts to establish a more flexible oversight regime that will be less of a drain on a practice's resources.

Critics of the DoL's effort to extend fiduciary responsibilities to retirement plan advisors scored a victory this week when the agency disclosed that it is pushing back the rollout of its proposal until at least next year.

Two issues that advisors have been closely watching are near the top of the commission’s list; namely, efforts to expand oversight of RIAs and enacting stabilizing reforms for money market funds.

The fund association maintains the industry is already heavily regulated, and in the event of failure a single fund can exit the market in an orderly process with little disruption, unlike banks.

In its zeal for products and performance, the fund industry is not delivering what today’s advisors need.

FINRA CEO Richard Ketchum praised one SEC commissioner for floating a new proposal to beef up examinations of the RIA industry independently of Congress.

Just a day after a top SEC official hinted at discord within the commission about an expansion of fiduciary rules to include brokers, a voting member of the agency spoke out in opposition to the proposal, at least until supporters can build a stronger case.

The contentious issue of harmonizing fiduciary responsibilities remains high on the agency's to-do list, though a timeframe for when a proposal might materialize is far from certain.

FINRA pledges more vigorous enforcement while at the same time dropping an information submission requirement for brokers from the controversial proposed data-collection program known as CARDS.

In cases heard by an SEC administrative law judge or a FINRA hearing panel, a study finds, 46.7% of broker-dealers, advisors and registered reps succeeded in getting charges dismissed or lowering the sanctions imposed.

A large majority of women are feeling anxious about their retirement security; at the same time there is a significant gender gap within the advisory sector, new research shows.

SEC Chairman Mary Jo White also lamented the commission's inadequate oversight of the RIA sector amid limited resources and an understaffed team of examiners, telling lawmakers she hopes to expand the examination staff through a $1.7 billion appropriation.