The regulator wants the exam process to be a dialogue with firms and advisers.

The OCIE is suggesting best practices for firms to protect themselves.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

Distributors on the continent are already signaling that they’ll offer a narrower range of funds as a result of MiFID II rules.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The consequences of the Fed's pullback extend well beyond the credit market.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

The regulator not only aims to stiffen penalties against bad actors, but also the firms that hire them.

The wirehouse will offer commission-based retirement accounts under limited circumstances.

The regulator accused the firm of collecting excess mutual fund fees by steering clients into more expensive share classes.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

The investment product raises eyebrows, but the firm’s founders have pledged to act as fiduciaries.

After a decade at the SEC, she joined global law firm Ropes & Gray, buttressing the firm's regulatory and ETF capabilities.

The $420 million team marks the latest wirehouse exit over a lack of flexibility around the rule.

These 10 leaders transformed their organizations to face the fund industry's biggest challenges.

Regulators have revealed what kind of issues advisors must address if faced with a review.