Regulatory reform

An index of SourceMedia's comprehensive election analysis for professionals in financial services, health care and technology. With coverage of more than 50 contests and ballot initiatives.

Here's how the outcome of the presidential election could affect the trajectory of the Labor Department's regulation.

A federal judge categorically rejects claims by an insurance group that the agency overreached. The ruling "sets the tone" for other suits nationwide, an investor advocate says.

While a federal court allowed the organization to file a brief saying it upheld fiduciary values, it should not be providing expert opinions, writes the founder of a fiduciary consulting firm.

The recording casts doubt on the CFP Board's claim that all CFPs are fiduciaries.

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

A tale of two banks emerges from a hearing on Wells Fargo's phony account scandal; one calls the problem an aberration, the other routine.

Insurance industry giant targets RIA market via fee-based annuities.

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

Independent advisers need to redefine their service to factor in the intrinsic values they bring to clients, says TD Ameritrade Institutional President Tom Nally.

The country's largest independent broker-dealer added 100 advisers in the second quarter.

Firm had sought to quash lawsuit from two former employees who alleged numerous securities laws violations, hostile work environment and wrongful termination.

A federal court in Texas, which has sided against the DoL in recent cases, is scheduled to hear arguments later this year on whether department overstepped its bounds with new rule.

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

Legislation passed by the House offers advisers protection against liability.

The firm misreported over 1 million transactions, according to the regulator.

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.

The regulator cited security oversights that led to the theft of thousands of customer accounts.

The question a Cetera advisor says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"