CEO Dan Arnold said advisers’ uncertainty about the fiduciary rule is waning.

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

"This is a challenging time for the firm with the DoL rule," CEO Paul Reilly said.

The move will streamline investigations and standardize sanctions, the regulator says.

The rule has cost the firm tens of millions of dollars in compliance and lost revenue.

Make sure clients understand that a 401(k) rollover could trigger a hefty tax bill, and that liquidating assets before the age of 59 1/2 could mean a hefty penalty.

The rep claimed the firm misled him when they recruited him from PNC Bank.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.

The new executive will lead a team counseling advisers on how to comply with the DOL rule.

The Labor Department has indicated that further revisions to the regulation could be forthcoming.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

Only 3% of households earning under $50,000 a year benefitted from the mortgage interest tax deduction.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

July 24: The world’s largest independent broker-dealer has launched a new mutual fund platform to adhere to the rule.

Are the measures you're taking enough? Compliance expert Alan J. Foxman explains.

A bill repealing rule moves on to House floor, while appropriators seek to block funding for the measure.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The last time the percentage was greater was when the S&P 500 was near its previous peak before the financial crisis.

Large, active hedge funds shorted Comex futures because of the risk of higher U.S. interest rates, driving down prices of the metal, an analyst says.