Regulation

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.

The newly approved rule could shave months off the process of getting active ETFs on the market.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.