The Justice Department and SEC have been cracking down on hedge funds' use of firms that are paid to offer insights on Washington policy that could move stock prices.

The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.

Following Commonwealth Financial Network's decision to cut its commission-based retirement business, some competitors head in the opposite direction.

With the fiduciary rule coming, advisers who have a great offer on the table better act fast, says one headhunter.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

New guidance from the Department of Labor provides conditions under which firms can offer bonuses and other compensation incentives.

The recording casts doubt on the CFP Board's claim that all CFPs are fiduciaries.

In an informal poll, the majority of banks and credit unions have made a definitive decision to no longer accept soft marketing dollars.

Some managers have been quick to respond with new robo platforms and recalibrated offerings for fiduciary advice.

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

The regulator is asking firms to provide details of their cross-selling programs, including incentives offered brokers and other employees.

Mirae Asset Global Investments said it is building its cash position in one of its Asia bond funds during the U.S. presidential campaign.

The decision is effective immediately and was made within hours of the Department of Labor issuing new regulatory guidance on the fiduciary rule's implications.

That extra back-end comp "can create acute conflicts of interest," the Department of Labor says in newly provided regulatory guidance.

Lawyers will likely become "very industrious … and once the trial bar is on to something, you know regulators will look,” a Schwab exec predicts.

"We fully expect to offer a range of options to help our clients," CEO Paul Reilly said.

The new rule will lead to lower built-in commissions, enhanced agent/advisor education, and increased regulation of indexed annuities.

Unlike its rival, Morgan will keep commission-based retirement accounts under the new regulation's best interest contract exemption.

As the industry shifts in response to developments in the regulatory and technological space, what can advisers expect? Here are ten takeaways from a new Schwab study.

CEO Jim Cracchiolo said the firm will still offer variety on its platform, but that it needs to make sure products are "appropriate for the client."