Fiduciary Rule

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

Nov. 27: Product shelves are changing as issuers modify their pitch to planners in the wake of the fiduciary rule and wane of traditional wholesaling.

Wholesalers have taken a new tack for a group leery of sales calls, regulation and litigation.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.

Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.

The department's proposal furthers efforts to undo the controversial regulation.

An abundance of software and practice tools has planners and firms overwhelmed. Here’s what it means for the industry.

New solutions offer plenty of features but lack focus.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

CEO Jim Cracchiolo reported record client assets and a sharpened focus under the fiduciary rule.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

Oct. 16: Analysts say new products filling the void may reverse the trend.

The products protect clients against losses, but significant caveats emerge in the fine print.

Despite a sales dropoff, experts forecast growth from product innovation and latent demand.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

Eaton Vance, Morgan Stanley and Putnam executives want to learn how new technology can be leveraged.

Asset managers are still guessing how clean shares will fare under the new regulation.