Independent BDs

To get a head start on the new rules, Janus Capital’s Matt Sommer suggests these smart moves.

Exclusive: Top Labor official says, “If we think there is some continued abuse that hasn't been adequately addressed, we'll figure out what to do."

“A great win for the middle class," a proponent says, as others note the changes already occurring at planning firms.

Voices: The fiduciary rule is not complicated. If you don’t want the responsibility of being an advisor, don’t call yourself an advisor or imply you are one.

Private equity firm gets in advice business as another insurance company gets out.

Labor Department event planned for next week.

Mick Hellman, formerly of Hellman & Friedman, is elected unanimously in advance of LPL's annual shareholder meeting.

Having good digital solutions can help advisors and clients deal with upcoming regulation, says a top Ladenburg Thalmann executive.

With its new $700 million valuation, Betterment takes top ranking among digital advice providers.

This filing follows January’s prearranged bankruptcy, and is part of the plan to fully restructure Cetera by May.

As of May 2, CFPs will lose the right to sue the board.

Unscrupulous advisors are finding safe havens, and fear no regulatory body.

The new recruits made the move to HighTower from Morgan Stanley and SunTrust.

Implementing the rule is a key legacy goal of the Obama administration.

Bowing to legal pressure, Lightyear says it will not try to hire 43 top executives – at least for now.

Two veteran advisors overseeing over $210 million left the wirehouse this week to join the independent firm that is affiliated with Raymond James.

The broad-based price reductions could force other IBDs out of business, one expert thinks.

During questioning by Sen. Warren, FINRA CEO Richard Ketchum said the regulator may set up a new fund for "terribly harmed" investors.

Voices: For smaller B-Ds, there will likely be an added cost of obtaining an unbiased assessment of the consistency, accuracy and suitability of their robo tools.