When measured against a standard of care for best interest advice, digital wealth managers fall short, attorney Melanie Fein argues.

FINRA claimed the broker attempted to secure a buyer for 10 sellers of Iraqi dinar currency in anticipation of a finder's fee.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

Even though MiFID II doesn't go into effect until Jan. 3, executives have complained they still lack clarity about its rules.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Advocates call for the commission to address investor confusion.

Sept. 11: Managers have been told to prepare for spending more on research and trading services they get from banks.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The advisor was accused of stealing more than $1 million from his clients to pay for golf course fees, tanning salons and other personal expenses.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

The defendants profited more than $3 million by trading before and after mergers and acquisitions were announced, according to U.S. prosecutors.

Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.

Contrary to industry chatter, the new standards will likely benefit advisors working with actively managed funds, Michael Kitces writes.

The SEC's June 2016 settlement with Merrill Lynch was one of its biggest cases of the year by dollar amount.

The broker persuaded clients to write checks payable to him, the regulator claims.

The firm allegedly profited $14 million by fabricating performance records.

Aaron Parthemer misrepresented investments to his pro athlete clients, the regulator claims.

The DoL rule has contributed to both the overall drop and a market shift, say LIMRA experts.

As prospects for the best interest contract exemption fade, the Labor Department is pursuing a "streamlined" exemption for conflict-free mutual fund shares.