To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The agency also proposed a rule to permit cities to create their own savings plans.

Eligible taxpayers can now qualify for a waiver of the 60-day time limit and avoid possible taxes and penalties on early distributions, if they meet certain requirements.

Weeks of conflicting economic reports have whipsawed money managers overseeing about $6 trillion, including Pimco and Vanguard Group.

A class of investors that includes foreign central banks and mutual funds bought a record amount at the $34 billion debt sale.

The fundamental nature of the social network is interaction and conversation — not the simple spouting of PR.

Far from signaling industry hardship, increasing liquidations reflect the ETF industry’s ebullient growth.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

The rule is finally dragging traditional brokers into the modern era.

The case, filed on behalf of an on-call branch office manager who works with advisers, follows similar retirement plan-related litigation recently filed against other firms, including Morgan Stanley.

The lawsuit highlights a friction that exists at financial-services firms that put employees into their own product.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The adviser, who was ranked in On Wall Street's Top 40 Under 40, is accused of conducting more than $1 million in private security transactions without notifying his employer, Hilliard Lyons.

Advisers may want to entertain a settlement offer from the regulator, even when planners disagree with allegations made against them, says our compliance expert.

After the DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

After DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

The broker was barred for allegedly stealing at least $14,400 from three bank customers.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.