It appears the regulator bought into the investor choice argument of sales reps right from the beginning.

New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

"Vitriol" and "vileness" lead FPA national to take unprecedented "nuclear option" against New York chapter

The commission's approach stands a good chance of superseding the Labor Department's fiduciary rule.

Many are unaware that they are responsible for a majority of their medical expenses, aside from premiums and coinsurance costs.

Timothy Scheve will complete the term of John Thiel, the former head of Merrill Lynch, who left FINRA's board earlier this year.

The claim alleged negligence, fraud and misrepresentation, according to the regulator.

Higher deduction ceilings have made itemizing a moot point for most individuals, but a novel strategy can yield real additional savings.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

The firm warned Friday that it may take a charge of as much as $1 billion to settle a U.S. probe of its consumer business.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

The payout brings the distribution to more than $1.2 billion, a fraction of the more than $50 billion scam.

Addressing the subject of mortality can be tough — but advisors can help make the conversation less painful.

A spike in volatility and changes in U.S. tax law are some of the reasons why the firm says clients have moved their money in the quarter.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

The new fee system will impact more than 800,000 customers.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

One couple in their eighties invested more than $700,000 with the alleged schemers, representing almost the entirety of their cashed-out pension, regulators say.

It pays to review the differences between traditional and Roth IRAs.