The restriction prevents clients from selling at a loss and buying back the same asset within 30 days. But there are strategies advisors can employ to use the rule to their clients’ advantage.

Treasury Secretary Jacob Lew announced that the administration's "myRA" retirement plan will be available nationwide, with an expanded menu of funding options.

Already gaining in popularity among advisors, low-cost annuities could receive a further boost if the Department of Labor's fiduciary proposal goes into effect.

BlackRock has agreed to purchase an $87 billion money-market fund business from Bank of America as it builds scale in an industry grappling with new regulations.

Just as robos seek to bring lower-income, self-directed investors into the advisory realm, the administration is looking to extend the retirement safety net through no-fee, no-risk savings plan.

Advisors gasped when they heard that the proposal requires firms to have a website revealing information previously considered confidential.

Federal regulatory council indicates that it is working toward a comprehensive review of the asset management industry as the SEC pushes separate rulemakings.

The fiduciary rule would significantly change how advisors are compensated and is part of a global trend to increase investor protection, researchers say.

The self-regulatory organization plans an internal and external search to replace the industry veteran.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including one advisor who's making a move and wondering what data can information can go with him.

Some of the biggest computerized-trading firms are facing obstacles as they try to move into interest-rate swaps.

Edward Jones and four other firms were sanctioned by FINRA for overcharging some clients on mutual fund sales.

Fidelity "served as a haven from regulatory oversight as it ignored blatant unregistered investment advisory activity,” according to Massachusetts' top securities regulator.

Secretary of Labor Thomas Perez said staff members have industry experience, in response to recent criticism, and emphasized that the department has been actively engaging and listening to critics as well as supporters of its proposed fiduciary rule.

The rep was expelled for failing to cooperate with a FINRA investigation into allegations that she misappropriated funds from a retail bank customer's account.

The widespread adoption of online and mobile banking has largely happened at a time when rates have been near zero. At some point, rates will rise and the value of the experience will be pitted against the value of a yield for depositors.

Banks are working quietly behind the scenes to determine whether they should take the exemption that will allow them to charge commissions on retirement business.

Instead of investing his clients' funds, Michael Donnelly used the money to pay for his own rent, car payments, golf club membership dues and his children’s private school tuition, the SEC said.

The German bank has faced questions and criticism in recent years about its internal controls.

Navigate Fund Solutions has worked on two tracks to promote adoption of NextShares with asset managers and broker-dealers simultaneously. The firm is satisfied with its penetration into asset managers, with $600 billion in assets under management already.