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.