Regulatory reform

The state regulator says its proposal is necessary after the commission failed to craft a uniform fiduciary standard.

The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.

The regulations cut back on some forms of conflicted compensation. Here's what else to expect.

The new rule package will require firms to take a hard look at their compliance programs.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

It could be the most significant update to advisor standards of conduct in years.

The rule requires greater public input, an industry trade group says.