Fiduciary Rule

The ruling scuttles the state AGs' bid to win reconsideration of the DoL’s regulation.

What should advisors expect from the upcoming regulation?

With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.

There are three top specialties that survey takers said they want when choosing a new financial planner, with one clear winner.

The brokerage sector and investor advocates are gearing up for a fight over broker provisions.

The no-nonsense CEO fields rapid-fire questions on everything from Amazon's interest in financial services to how the SEC is handling the fiduciary rule

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.

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.

The firm is prioritizing its most productive advisors after shedding some 30% from its headcount.