Regulatory guidance

In contentious Senate testimony, White fended off accusations that the regulatory body has dragged its feet. Again, she did not offer a timeline for implementing a fiduciary rule from the SEC.

Robert Cook, an attorney and former SEC director, will have to help the regulator navigate complicated matters , from calls for an industrywide fiduciary standard to heightened congressional scrutiny.

Some advisers may think the regulations won’t affect them. Here’s why they’re wrong.

If you're still thinking about a client who may be suffering from diminished capacity or displays other worrisome signs, then you need to say something, says Dr. Nancy Needell.

Richard Ketchum adds that the regulator needs to take a closer look at the culture of wealth management companies to see if executives are setting the right tone: "It is essential that a firm's leadership own the policies and procedures."

The new rules were developed in consultation with the SEC, the Labor secretary adds.

There is little to fear from the final version of the Department of Labor's regulation, planners say in a new survey.

FINRA reprimanded the former rep for allegedly falsifying personal documents as accommodations for HSBC bank customers.

Vanguard founder John Bogle and the DoL's Phyllis Borzi support an investor bill of rights.

Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.