Regulation

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

Adviser Dan Moisand was surprised by the decision not to delay the fiduciary rule further. But he wasn’t put off. Here’s why.

Analysis from a Symmetry Partners research executive questions whether higher risk really leads to higher returns.

There is "no principled legal basis" to do so, Labor Secretary Acosta says.

Serving a client’s best interest means focusing on fewer households. Staying profitable means choosing the right ones. Editor Lee Conrad talks with LPL exec Arthur Osman about segmenting a book of business.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

C.L. King & Associates argued it did not break any FINRA rules.

The number of employees involved in compliance and regulatory work at U.S. Bank doubled over the past three years.