The implementation of GDPR may seem scary, but it really isn’t all doom and gloom.

An investigation by state securities regulators found the independent broker/dealer failed to prevent the sale of certain equity and fixed-income securities that may not have been properly registered in their domains.

The DOL missed the deadline to file for a rehearing in the Fifth Circuit Court of Appeals, meaning the Court’s decision to vacate the fiduciary rule stands.

The SEC’s definition of the fiduciary “Duty of Care” makes any regulation difficult to enforce. It needs to offer a more concrete interpretation: one that focuses on the research upon which investment recommendations are based.

The consumer group, along with the attorneys general of California, Oregon and New York, are seeking a rehearing by the Fifth Circuit, which vacated the DOL fiduciary rule.

Labor Department investigators are also examining whether Well Fargo's retirement-plan services unit pressed account holders to buy in-house funds.

The pace of innovation and investors’ changing habits require raising the bar.

The latest DOL guidelines differ from 2016 guidance from the Obama administration.

FINRA releases FINRA360 Progress Report, new website helps investors find fiduciaries and D.A. Davidson adds at $380 million team in Colorado Springs, Colo.

Establishing a fiduciary duty for financial advisors should not be this complicated, says Elliot Weissbluth, CEO of HighTower.