Law and regulation

An arbitration panel found that a client's complaint about a former wirehouse advisor was "factually impossible or clearly erroneous."

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

Only time will tell if institutions that have been proactive fare best.

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

The head of Wall Street's chief regulator doesn't see "why a best interest standard shouldn't apply across all products and all activities."

Research firm Cerulli Associates anticipates "unexpected changes" in the retirement space as a result of the Labor Department's proposed rule.

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

AIG affiliates were fined by a U.S. regulator for charging customers higher fees in mutual fund sales.

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.

A new FINRA report warns firms they should be ready for reviews on their use of digital investment advice tools.