Regulation Best Interest

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

The policy had been under review after a federal appeals court vacated the fiduciary rule earlier this year.

The brokerage firm is holding off on making major changes while regulatory frameworks shift once again.

Here's what I've realized since I penned my original missive to the commission.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.