SEC

Only about 5% still charge them, according to a Financial Planning study.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

A bill repealing rule moves on to House floor, while appropriators seek to block funding for the measure.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

A new bill would go further than past attempts to block the Labor Department altogether.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.

Distributors are no longer content with labeling their products with star investors.

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

Assets in products susceptible to the risk of fire sales during a future shock are up 673% since 2000.