Regulation

The move is additional fallout from the president's memo to the Department of Labor to review the regulation and possibly rescind it.

"We believe they have made our overall platform more competitive," said a top executive in the LPL division that supports banks and credit unions.

Some firms reserve comment on the president's order, despite public support for the fiduciary rule in the past.

Rule supporters say they intend to continue making their case on Capitol Hill.

Firms must ensure that best interest practices are part and parcel of every investment deal.

The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

The aggregator has clicked with an expansion-minded RIA seeking to grow its footprint and 401(k) business.

FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.

Following a year of slowed deal activity, a PwC report addresses the added challenges managers face amid the developing economic, tax and regulatory agenda of the new administration.