Regulatory guidance

That extra back-end comp "can create acute conflicts of interest," the Department of Labor says in newly provided regulatory guidance.

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

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

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 Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.

In their zeal to comply with the Labor Department's fiduciary rule, firms could find themselves in regulatory hot water for reverse churning.

Wells Fargo, Morgan Stanley, Bank of America and J.P. Morgan Chase were among the dissenters, people familiar with the matter said.

The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.

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.