The sales-first crowd is trying (desperately) to make sense of the new regulation.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Help could be on the way for retirement-age clients asking prickly questions about coverage options.

Prices that reached an almost seven-month high in June have now dropped for five straight weeks, the longest slump this year.

Amazon's Jeff Bezos has the distribution to potentially disrupt financial services, says Riskalyze CEO Aaron Klein.

Advisers need to plan their nonprofit work as carefully as the rest of their business.

How should banks approach the challenges ahead? Consultant Peter Bielan talks with Editor Lee Conrad.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

Lawmakers are considering scrapping individual deductions, including tax breaks for certain plan contributions.

The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.

"You're going to turn around," a federal judge instructed advisor Charles Banks, "and you're going to talk to all these people that you have caused pain for, face to face."

Concerns with the fiduciary rule, compensation and leadership pushed down satisfaction ratings.

The agency's staff has recommended filing an enforcement action against two Barclays bankers, according to records filed with FINRA.

One step for clients is to avoid investing the money that they will need within a five-year period.

Older Americans would be subject to an "age tax" under the Senate legislation designed to revamp the Affordable Care Act, says an expert with the AARP.

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

The adviser refused to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer.

The regulation, which has broad support among RIAs, has spurred firms to streamline policies and procedures, according to a new study.