One brokerage executive likens the situation to changing the rules of a football game after the teams are already on the field.

A new campaign, which highlights the toll investors may face from conflicted retirement advice, is designed to win grass-roots and government support for the regulation.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

The White House’s inaction has left the SEC and the CFTC with just two members each, one from each party, giving Democrats the power to block policy moves they disagree with.

Advisers will be challenged to evolve to remain successful in the new age of cheaper investing, shifting demographics and (at some point) a fiduciary standard, says Tim Coleman of Centier Bank.

Access to banking information ensures advisors can perform holistic planning, fintech firms say.

The investment manager has filed an initial registration statement with the SEC for eight funds, sub-advised by two affiliates of Legg Mason.

The Labor Department will now conduct a review with an eye toward amending or rescinding it.

Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

Here's what an alternative approach to the Labor Department regulation could look like.

RIAs must start disclosing more about bad actors, auditors and asset breakdowns.

A report from the bank concludes that payouts on the country's securities, while difficult to determine, are likely to far exceed current pricing.

One expert feels the marketing advantage is exaggerated because clients come into an adviser relationship like a marriage: "They’re not expecting to get divorced.”

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

It’s time to consider payment schemes that are more transparent and better aligned between who pays the cost — and who enjoys the benefits.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

The strategist, who has long criticized the BRIC idea, changed his views as the Fed appears to have capped long-term U.S. yields, even as it raises rates.