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Even universal-rule advocates want coordinated Labor Department, SEC approach.

So the results are in: Advisors should be held to a fiduciary standard because investors assume their brokers are acting in their best interests anyway.

It looks increasingly likely that SEC Chairwoman Schapiro will leave her post by year-end, even if Obama is re-elected.

t is time to embrace a uniform fiduciary standard, Dick Averitt, the chairman of Raymond James Financial Services told a packed general session at its national conference for professional development.

Wealth managers join forces as SEC, Labor Department get ready to issue new investment advice rules.

A major overhaul of suitability mandates that take effect today has some in the brokerdealer world worried about much broader obligations to oversee customer accounts and investment strategies.

What is an advisor’s true fiduciary duty?

Chase Investment Services Corp., a division of JPMorgan Chase, will have to reimburse brokerage customers $1.9 million.

Greg Smith’s very public resignation from Goldman Sachs has sparked heated discussions in the financial services industry…

Finra alleged that a broker bought reverse convertible notes for 21 mostly elderly customers.