Fiduciary standard

The board will release new proposed revisions and seeks additional public comments.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

New solutions offer plenty of features but lack focus.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The products protect clients against losses, but significant caveats emerge in the fine print.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

Saving too much for retirement could force clients to take loans or make withdrawals that would carry taxes and penalties.

Moves by Nevada and others threaten to create compliance confusion.

Mounting regulatory concerns and technology pressures have left advisors looking for outside help, new research shows.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

Advocates call for the commission to address investor confusion.

As prospects for the best interest contract exemption fade, the Labor Department is pursuing a "streamlined" exemption for conflict-free mutual fund shares.

Fintech entrepreneurs with a common mission: to help planners, not disrupt them.

Banks need to re-assign some of their wealth management clients, says Arthur Osman, executive VP, institution services at LPL. This can lower costs, help develop new talent and with the right touch, clients won’t feel disconnected from the bank, he says.

The move will likely be seen as a win by the opponents of the regulation.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.

The products protect clients against losses, but significant caveats emerge in the fine print.

These two accounts are both funded with money that has already been taxed, but there are still important differences that clients need to know.