Thanks to databases and algorithms, the regulator is getting better at weeding out bad brokers, and scrutinizing the firms that work with them.

Financial disclosure forms from Randal Quarles and Joseph Otting show both men generated substantial wealth from the industry they will now be tasked with regulating.

The Duty of Care could use a little more sunlight.

Even with full compliance not scheduled until January 1 and a further delay possible, the fiduciary rule is already affecting plan sponsors.

FINRA representatives have asked at least one of the attorneys involved in the dispute for information about how the breach occurred and how Wells Fargo failed to detect it.

Another piece of Dodd-Frank regulation is effectively dead.

At a House committee hearing, industry groups discussed the impact of the rule so far, as well as a draft bill that would repeal it.

IRS educates advisors on phishing scams, a Long Island stockbroker sued for libel and an assessment on the next generation's money management skills.

Not because of what the bill says, but because of how Republicans are going about passing it.

The Department of Labor's "best interest" rule should be maintained, only without the enforcement provision of class-action lawsuits, says the U.S. Justice Department.