Fiduciary standard

The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.

A federal court has struck down the rule and the industry’s top online advice executives are speaking out.

Focus turns to the SEC as it considers creating its own higher standard of client care.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

Some are calling for the CFP Board to get tough on conflicts and compensation as it finishes revisions to its standards of conduct.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.

Planners must make accurate disclosures about their service models, says the regulator.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

Artificial intelligence, digital privacy, health care and geopolitics will impact clients in "deeply personal" ways in the next decade. For advisors, that’s a huge opportunity.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

The good, the bad and the downright inexplicable in the suggested changes.

What do they bring to the table? Lobbying clout, alternative fee structures and technical expertise are just part of the equation.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

While the ranks of women who hold the certification surged, they still make up only 23% of the pool.

Known for his advocacy for planning at all income levels, Paré wants the FPA to expand its membership to 24,000 and beyond.

The online tool, created by the advocacy organization and state regulators, suggests tough questions for the hiring process.

Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.