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.

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.

Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

The influential retiree advocacy group filed for a 17-judge review of the decision.

The products have grown in popularity after undergoing significant changes in recent years.

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

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

By requiring brokers to look out for clients’ best interests, the SEC is effectively requiring them to give financial advice, which distinguishes them from online brokers and should let them keep charging clients premium fees.

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.