Regulation

Concerns about the new fiduciary rule helped propel the move, along with a drop in LPL service, an adviser says.

The finalization of the Department of Labor’s recent fiduciary ruling has left more than one out of three retirement plan service providers uncertain of their professional status, according to a new industry survey.

Shifting to advisory business means firms will have to develop new incentives to attract talent, as the job will not offer the same earning gratification as it once did.

New York City Council Speaker Melissa Mark-Viverito has asked the SEC to investigate OppenheimerFunds, saying the asset management company has played a role in worsening Puerto Rico’s fiscal crisis.

Louis Martin Blazer III allegedly stole $2.35M from clients through his concierge firm Blazer Capital Management.

Not every ETF launch works. But a team effort and a compelling idea can make an ETF a success in an industry where a handful of dominant firms and smaller players compete aggressively for assets.

Program managers bridge the gap between banks and their advisers and today they're facing more challenges than ever. The best look for champions, call meetings and talk a lot.

Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features and steered clients into costlier products.

FINRA blasted the former rep for allegedly making unsuitable recommendations in unit investment trusts that cost customers more than $1 million in losses.

Low rates may prove a more enduring challenge than even MetLife Chief Executive Steve Kandarian’s fight against government regulation.