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"To me, that rule, it was about one thing and it was about enabling trial lawyers to increase profits,” acting Chairman Michael Piwowar says.

We've reshuffled our top 100 bank advisers to list them by tenure in the industry. Here are the top 20.

Caution to advisers: If you cop a deal with the SEC for leniency, be sure to hold up your end of the bargain.

Advisers must ensure they are using the geometric rather than the arithmetic mean when calculating investment returns.

It is a sensitive topic, especially for partners who have earned their appellation on the letterhead.

There's no point in waiting on new policy to initiate preparation that is protective and vital, no matter what the ultimate law may be.

Investors poured a combined $2.4 billion into the funds this year as a bet that firms will benefit from deregulation policies.

It's expected that some $300 million could pour into the new fund in its first week.

The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.

85% of survey's respondents felt that lawmakers don't understand the difficulty they face when building a retirement nest egg.