The fiduciary standard remains elusive.

Former Assistant Secretary of Labor Phyllis Borzi says lobbying Congress to reactivate a fiduciary rule is not the way to go.

Advocates for brokerages and RIAs agree on one thing: The federal government—not the states—should be the one to set the standard of conduct.  

FinTech Advisory Working Group will help companies navigate regulatory requirements.

The package of bills includes legislation meant to spur capital formation and expand the definition of an accredited investor.

The FTC and SoFi resolved a government complaint, issued in October, around the firm's student loan advertising.

President Trump's focus on the development of AI could foster an accelerated rate of innovation in wealth management technology.

A new bill package includes a section establishing who are fiduciaries, including broker/dealers, broker/dealer agents, insurance producers, investment advisors, federally covered advisors and investment advisor reps.

Two cases late last year and recent regulatory actions have underscored the need for firms to work this year on developing practice standards if they offer robo-advisory services or expect to do so.

The regulator wants broker/dealers to come forward and self-report supervisory failures in exchange for leniency.