SEC

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.

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

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

The legal heads of both firms challenge arguments made against the ability of robo advisers to serve their clients.

While it’s early in the process, a number of names are being floated as possible contenders.

The commission will examine how digital advice platforms uphold fiduciary responsibilities and safeguard client data.