Regulatory reform

"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.

Survey shows advisors accept fiduciary mindset but do not see major impact on product choices yet.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

The department's proposal furthers efforts to undo the controversial regulation.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.

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.