If your firm missed Monday's deadline for New York's new cybersecurity regulations, you still have time to get your act together.

The process of altering the rule in some capacity is now under way.

Under American rules, companies that charge clients money for analysis can deemed to be providing investment advice.

Wine mogul Peter Deutsch lost his claim for compensation from the brokerage of accused mishandling of his account.

Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.

The filing doesn’t provide details about the delay, but it does say that the full proposal is expected to be published Thursday morning.

In its latest round of FAQs, the DOL clears up retirement-plan advisors' confusion around 408(b)(2) disclosures and recommendations to increase contributions and plan participation.

New York's Department of Financial Services set a series of rolling deadlines for companies to become compliant with the new standards. The first is imminent.

A federal appeals court judge asked a lot of questions of the Department of Labor, focused particularly on prohibited transaction exemptions that already exist under ERISA.

Amid all the other Washington drama, the Investment Adviser Association held a Lobbying Day to discuss the fiduciary rule, advisor exams, cybersecurity and more.