Regulation Best Interest

The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.

The regulations cut back on some forms of conflicted compensation. Here's what else to expect.

The new rule package will require firms to take a hard look at their compliance programs.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

From the SEC to the Supreme Court, here's what could be playing out this year.

The SEC is running on a skeleton crew that effectively halts routine oversight.