DoL

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

"There is an added sense of urgency now," says Barbara Roper, director of investor protection at the Consumer Federation of America.

The White House has made fiduciary part of investors' vocabulary.

OSHA supports ex-broker Johnny Burris’ firing because he allegedly faked company letterhead. Burris says the bank approved the altered letter years before.

The decision vindicates ex-broker Johnny Burris, but also supports the move to fire him. However, a bank document obtained by Financial Planning casts doubts on the reason for his termination.

That's just one solution among several that will help prepare your firm for success now and in the future, columnist Bob Veres says.

How the new regulation will affect a planner’s advice.

Critics say the regulation's costs and hurdles will hurt advisers. But there's another side to the story.

The industry's trajectory is being permanently altered. Here's why.

Dan Moisand's firm joins the Institute for the Fiduciary Standard's new listing. Moisand is a former CFP Board official and ex-president of the FPA.

Will Chief District Judge Barbara Lynn be the first to rule against the regulation? Opponents of a case in Texas federal court have high hopes.

From regulators to technology providers to CEOs, these are the players who will remake wealth management in 2017.

Advisers and experts offer insights about the changes and issues the industry will face next year.

Former Department of Labor officials allege systemic breakdown of whistleblower protection; two also handled Wells Fargo cases that went nowhere.

The president-elect's nominee will help decide the fate of the department's fiduciary rule.

The industry trade group is also calling on regulators to harmonize existing rules.

The marketplace may be the ultimate arbiter of the regulation, say MarketCounsel conference experts.

Anticipation of auto enrollment features is expected to change the way advisers serve their clients.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

The new administration will have two paths it can take to stop the regulation from being implemented.