Regulation

Jon Xu, chief technology officer and co-founder of FutureAdvisor, says the financial industry has only begun to tap the data available to it.

The traditional grid that delivered handsome payouts for advisers will likely go away for all but the top performers.

The debate has spread far beyond planners and regulators, suggesting to some that public consciousness, and widespread change, might be on the rise.

A broker discovers that FINRA has changed the comment period from 15 days to three, a leading compliance expert says.

Best interest contracts don't allow conflicts of interest, but don't ban all conflicted compensation. The DoL may be giving the industry enough rope to hang itself.

If advisers fall short, “required disclosures will provide a roadmap to the plaintiff’s attorney to pursue."

"Asking more questions or a specific number of questions isn’t necessarily going to make the suitable and fiduciary responsibilities any better," says FutureAdvisor's co-founder Jon Xu.

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

The clock is ticking for the onset of an incredibly far-reaching new fiduciary rule. Here’s who it helps — and hurts.

Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.