Fiduciary standard

When the board's new Code and Standards take effect in October, fee-only advisors will be expected to step up their compliance operations.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

Without advisor buy-in, scale can't be achieved, the tech executive says.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

While seeking input on how to better nationally integrate operations, the FPA has scrapped the idea of wrapping all chapters into a single legal entity — for now.

The move suggests that the SEC’s proposed Regulation Best Interest isn’t strong enough for some.

After 30 years and a monster merger with Financial Engines, the firm is doubling down on its AUM fee structure.

Advisors need to be willing to take a financial hit for clients

Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.

Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

Even as BDs transition from their commission roots, too many still treat advice as a liability.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.