The rule’s outlook seems uncertain, but a strong undercurrent is carrying the industry along.

The SEC released a letter outlining where the most common deficiencies occur.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

The fast-food executive withdrew amid controversy over his personal life.

The broker was terminated after a series of unauthorized transactions involving the accounts of customers of both BBVA and its affiliate bank, FINRA claimed.

Reflecting industry concern with Department of Labor rule requirements, the firm dubbed the platform as a "One-Click Fiduciary."

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.

The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.

SEC staff recommended this solution as far back as 2011.

Intense competition and the advent of the fiduciary rule are prompting financial institutions to consider making select purchases.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

A new comment period would give the administration time to prepare for legal challenges anticipated after it puts a delay into place, one expert says.

NorthStar communications executive Chelsey Duncan said the firm embraced this concept with the addition of a digital marketing coordinator in January.

The nation's largest IBD vows to take a “proactive approach” to the fiduciary rule.

Greater transparency can help land prospects with the industry focused on the Department of Labor's fiduciary rule, experts say.

The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

The adviser used the money to fund his “lavish lifestyle,” including $1.6M for private jet services, according to authorities.

The decision landed just hours after the Department of Labor asked for the decision to be postponed while it complies with a Trump order to review the regulation.