Adviser Dan Moisand was surprised by the decision not to delay the fiduciary rule further. But he wasn’t put off. Here’s why.

Analysis from a Symmetry Partners research executive questions whether higher risk really leads to higher returns.

There is "no principled legal basis" to do so, Labor Secretary Acosta says.

Serving a client’s best interest means focusing on fewer households. Staying profitable means choosing the right ones. Editor Lee Conrad talks with LPL exec Arthur Osman about segmenting a book of business.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

A 2014 law lets clients disabled before the age of 26 to save as much as $14,000 annually without facing any tax burden.

The number of employees involved in compliance and regulatory work at U.S. Bank doubled over the past three years.

Market-implied wagers on a hike have been whipsawed by the political storm buffeting the White House.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

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.