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.

The adviser refused to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer.

The regulation, which has broad support among RIAs, has spurred firms to streamline policies and procedures, according to a new study.

The firm has collected more than $1.1 million in arbitration cases so far this year.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Retirees who retire before 65 and want to reduce their premiums are advised to keep their taxable income between $12,060 and $48,240 (for singles) or $16,240 and $64,960 (married couples).

Advisers face fewer choices for clients as both the rule and SEC enforcement roil the market.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.