The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

Life insurance will become more attractive to sell in the post-fiduciary world because it is one of the few products not encumbered by the regulation.

The fund provider is the latest firm expecting more advisers and long-term investors will turn to passive investing because of the regulation.

Lawmakers from both sides of the aisle have proposed legislation in recent years to limit the central bank's authority.

The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.

The long-running battle by two CFPs against the board comes to an abrupt end.

After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.

A victory for the government would be a boost for prosecutors and the SEC.

A look at the new opportunities and restrictions that emerged over the course of the year, with an eye toward what clients can do before Dec. 31.

The self-paced online curriculum consists of a base course and role-specific courses for both fiduciary and non-fiduciary roles

Multiple tiers of service with corresponding client benefits will be the only way to maintain reasonable profitability in the future.

A firm contest incentivized about 30 advisers to push lending products to clients and created conflicts of interest, according to officials.

Beacon Pointe’s latest deal puts the wealth manager over the $2B AUM milestone, and it’s eyeing new markets.

Artificial intelligence is poised to bring dramatic change in the roles computers and humans play in regulatory compliance.

Mounting regulatory pressure will push firms to decrease the number of products available due to compliance risks, Cerulli Associates says in a new report.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

A broker leaving a job didn't think the training he got from his former employer was sufficient. His old firm disagrees and wants the costs reimbursed.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

Insurance industry giant targets RIA market via fee-based annuities.