Regulatory actions and programs

Postponement serves no purpose, because honest consideration will not change the regulation.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

Big firms are asking for more time, while investors and even some advisers are asking the Labor Department to keep the rule intact.

The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.

A higher standard of client care can still be enforced in the marketplace, fiduciary supporters say.

With an eye toward potential repeal, Alexander Acosta told senators that he will abide by President Trump's executive memorandum and review the rule's impact.

The senator isn't waiting for attorney Jay Clayton's confirmation hearing to ramp up her opposition.

The former adviser allegedly pocketed more than $300,000 from trades involving pharmaceutical stocks.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

One planner says there's no reasonable basis for a delay, while another says he can't afford all the compliance costs.