Regulation

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.

The new retirement platform will support advisors who are transitioning to the fiduciary model.

The industry's leading lobbying group, SIFMA, says that the Labor Department's fiduciary proposal would result in a messy regulatory framework that could spur the SEC to restore order to the chaos.

Voices: Advisors may regret delaying their preparation for the new regulation.

All advisors should familiarize themselves with the rule's likely changes to ERISA.

A fundamental role in the securities business is changing — and there’s no going back.

BlackRock and State Street, along with more than a dozen industry participants, are urging regulators to take steps to ward off extreme market volatility.

The fixed-income trade is booming at BlackRock and other investment firms, which are capturing a greater amount of activity -- and fees -- with their ballooning credit ETF businesses.

Banks are likely to accelerate the shedding of their in-house mutual fund businesses in light of the proposed rule.