The department issued a request for information seeking data and information that may be used to revise the rule and its exemptions.

Despite a decrease in funding for its exam unit, the agency expects to boost investment advisor exams by 5 percent in fiscal year 2018.

How QMS technology can ensure advisors stay on the right side of the new DOL rule.

Robert Cirrotti, Pershing’s managing director of investment and retirement solutions, on how firms are navigating the fiduciary rule now that it’s in place—and where the rule could go from here.

FINRA’s exam cycles mean each firm will get reviewed once every four years.

The Treasury said its plan was designed to spur lending and job growth by making regulation “more efficient” and less burdensome.

Despite a delay and speculation around outright repeal, the DOL’s fiduciary rule becomes applicable today. Here’s how the industry is reacting.

Blass, an attorney at Ropes & Gray LLP, is an SEC alumnus who previously worked in the Investment Management division that she is being tapped to lead.

Tom Baker, professor at the University of Pennsylvania Law School, says robo advisors are not immune from conflicts of interest. However, there are challenges to regulating the space.

With the fiduciary rule in doubt, seeking professional advice about money remains a dangerous proposition.