Regulatory reform

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

The storm devastated Puerto Rico, which has seen a surge of client complaints.

Moves by Nevada and others threaten to create compliance confusion.

A different regulatory landscape is encouraging brokers to reconsider their options.

Staying current with where the regulation stands can be hard. Here's what advisors need to know now.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

As prospects for the best interest contract exemption fade, the Labor Department is pursuing a "streamlined" exemption for conflict-free mutual fund shares.

The Office of Management and Budget concluded its review of the proposal, a key step in the administrative process, which puts a freeze on further implementing the regulation.