It's expected that some $300 million could pour into the new fund in its first week.

The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.

The increase was due to the rise in the size and number of "supersized" fines of $1 million or more; meanwhile, restitution fell 71% from the previous year.

Take a look at some of the best comments from your industry peers on the fiduciary rule.

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

If rule isn’t scaled back, the lower tier of advisers has a rough road ahead. Their “future isn’t what it was in the past.”

It’s not just about consumer advocates and advisers; there’s another side to the issue that’s not getting the attention it deserves.

The firm lowered its online retail trade commission from $6.95 to $4.95 about 10 hours after Fidelity announced similar reductions.

The department says it needs time to complete a review of the regulation ordered by President Trump, who also recently outlined criteria for reversing the rule.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

When an adviser’s Spidey sense tingles, there’s usually a good reason, Kimberly Foss says.

The deputy director of the agency's examinations unit, however, cautions that any such effort must be carefully coordinated.

The Northern Lights funds exclude companies that clash with their religious wrappers.

Use this as an opportunity to target potential clients and address specific niches.

Morgan Stanley is in “advanced discussions” with the IRS to resolve any client tax underpayments, according to an SEC filing.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.

Andy Sieg, head of the firm, says that "operational changes" are possible if the rule is delayed or overturned.

The SEC is investigating the bank for selling clients mutual funds that charge marketing fees when other, cheaper funds were available. SunTrust expects an enforcement action.

The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.

The move is good news for money managers looking to tap into emerging stocks and equities in Europe after run-ups in both over the past year.