SEC

Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.

Even after a federal appeals court struck down the rule, more clashes over the regulation of sales versus advice are inevitable.

Industry insiders see the agency proceeding with its rule to harmonize standards for brokers and advisors.

The FBI has reportedly interviewed employees at the bank’s wealth management unit.

The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.

A federal court has struck down the rule and the industry’s top online advice executives are speaking out.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Focus turns to the SEC as it considers creating its own higher standard of client care.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.