DoL

That extra back-end comp "can create acute conflicts of interest," the Department of Labor says in newly provided regulatory guidance.

Tibergien: RIA valuations will sink. Seivert: Financing for deals will be just fine.

Fee-only advisors seek clarification from the DoL on compliance requirements.

Planners and brokers alike must revisit their policies and procedures, caution legal and compliance experts. Here’s where to start.

After the fiduciary rule was announced, it wasn’t clear how brokerage firms would adapt. Here's why the wirehouse is a standout on its approach to the new regulation, and why one competitor isn't.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

The wirehouse, which is embracing the new regulation, is the first to unveil its strategy in depth.

Life insurance will become more attractive to sell in the post-fiduciary world because it is one of the few products not encumbered by the regulation.

Mounting regulatory pressure will push firms to decrease the number of products available due to compliance risks, Cerulli Associates says in a new report.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

The agency also proposed a rule to permit cities to create their own savings plans.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

The rule is finally dragging traditional brokers into the modern era.

The advice environment for participant rollover choices is muddled as plan providers struggle to gear up for the DOL’s rule.

"I think the DoL rule has a disproportionate impact on the independent business, and that affected our decision-making," says Ron Kruszewski.

The country's largest independent broker-dealer added 100 advisers in the second quarter.

Compliance with the fiduciary rule is both essential and complicated.