Regulation Best Interest

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

What different outcomes could mean for financial planners and their clients.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.

Actions hit a nine-year high and restitution climbed to the highest total since 2013 — even before the rule’s heightened scrutiny.

The department faced scathing criticism for hours from insurers and consumer advocates alike.

Lower transaction costs can often come with higher expense ratios at the nation’s largest IBD.

The party’s draft party platform criticizes lax standards implemented by the Trump administration, and vows to strengthen Social Security.

In a sign of long term changes and pivotal questions for the industry, the difference between the amount of fees and commissions in the sector has nearly doubled.

The Labor Department’s short comment period is one reason to get up to speed, fast.