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.

The firm has collected more than $1.1 million in arbitration cases so far this year.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Retirees who retire before 65 and want to reduce their premiums are advised to keep their taxable income between $12,060 and $48,240 (for singles) or $16,240 and $64,960 (married couples).

Advisers face fewer choices for clients as both the rule and SEC enforcement roil the market.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

Low costs and an overall shift toward passive are only part of the reasons why they are leaving such an impact, according to four experts’ testimonies.

Custodied assets from advisers are shifting in unexpected ways, as Financial Planning’s exclusive research shows.

It allows more flexibility than some may think, according to executives from the two firms.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.