Fiduciary Rule

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

The wirehouse had held back on finalizing some aspects of its fiduciary implementation plan until the rule's fate was clearer.

A clear path has emerged after historic revenue drops among the top independent broker-dealers.

The DoL’s fiduciary rule means advisers can expect additional scrutiny over fees. So how can they prepare for these industry changes?

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

Adviser Dan Moisand was surprised by the decision not to delay the fiduciary rule further. But he wasn’t put off. Here’s why.

There is "no principled legal basis" to do so, Labor Secretary Acosta says.

Serving a client’s best interest means focusing on fewer households. Staying profitable means choosing the right ones. Editor Lee Conrad talks with LPL exec Arthur Osman about segmenting a book of business.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

The number of employees involved in compliance and regulatory work at U.S. Bank doubled over the past three years.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

The wirehouse will offer commission-based retirement accounts under limited circumstances.

The $420 million team marks the latest wirehouse exit over a lack of flexibility around the rule.

The method is gaining traction, even as some warn against abandoning the regular approach.