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.

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

From health care expenses to taxes, how planners can help clients strategize.

The method is gaining traction, even as some warn against abandoning the regular approach.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

Business groups looking for regulatory relief were quick to hail the Senate's confirmation of Jay Clayton, a veteran Wall Street lawyer.

Despite initial reservations, the advisers eventually viewed the cuts as the right thing to do in light of the industry's shift to a fiduciary standard of care.

Despite confusion over the rule's fate, ERISA attorney Fred Reish warns advisors it's likely to go into effect without significant changes.

The Broker Protocol is just the first step. Those entering the fiduciary world still have to proceed with caution.

From BlackRock CEO Larry Fink to author Michael Lewis, here are the most thought-provoking remarks made at the asset manager's annual conference.

The private equity-backed firm has added seven ex-wirehouse advisers so far this year.

Dan Arnold expects that upheaval to lead to more movement of advisers and assets.

Advisers must integrate risk management, invest in technology and take control of what they can.

Advisers must integrate risk management, invest in technology and take control of what they can.

Alexander Acosta must reckon with a June 9 deadline amid a tense political debate dividing the industry.

The firm's Private Client Group saw pretax profits drop to $29 million from $83 million for the year-ago period.

The Labor Department's own rule-making process may be presenting hurdles to completely rescinding the regulation.