If Acosta is confirmed, one of his most immediate decisions will be how to handle the Obama-era regulation. Labor department officials say they expect him to bring a conservative approach.

Nearly 60% of investors would explore changing firms if forced to switch, according to a J.D. Power study.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to compliance with the SEC's new reporting modernization regulation.

One planner says there's no reasonable basis for a delay, while another says he can't afford all the compliance costs.

The firm's latest "industry checkup" reports declines in revenue, adviser productivity and adviser headcount.

Here’s a roundup of the best quotes and most intriguing ideas we heard at the annual convention.

Market forces have wrought changes that can't be repealed, according to champions of the rule.

The rep initially alleged his wallet had been stolen and someone forged his signature. He later claimed he must have been drugged.

The broker allegedly sold $285,250 worth of shares to four investors.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

The research giant says it aims to lower costs by removing a layer of fees paid to third-party managers.

While women are far less likely to engage in misconduct, they're punished much more harshly for any infractions, per a new study.

The firm was also ordered to pay $62,807 in restitution to affected customers, plus interest.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

The broker slashed her payment by pressing for funds she said the firm promised but never paid.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

Morgan's latest hires oversaw about $575 million, On Wall Street learns exclusively.

Investors have already made bets on how President Trump's deregulation efforts will fare.