Regulation

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

Although markets were jolted by The UK’s vote to leave the European Union, one asset manager says it was a good test.

"The trend is moving toward fee-based planning and removing commissions from the equation," says Artisan Advisor's Tim Smith.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

In his underdog bid in North Carolina, Andy Millard says he's fighting big Wall Street money: "The financial consumer is not well represented in Congress."

Consultants are turning to technology as the SEC ramps up RIA exams.

Consultants are turning to technology as the SEC ramps up RIA exams.