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.

The barriers that kept wirehouse advisors in place are rapidly dropping by the wayside.

Raymond James takes on the West Coast, study shows your face can show your wealth, and U.K. wealth advisors are facing the same issues as U.S. advisors.

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

The digital space affords us many opportunities to do more than we ever thought possible, but it comes with new and unforeseen risks.

Jeff Bezos' richest-man title does not come with 'most charitable,' 401(k) engagement is up among millennials, and RBC Wealth hires Sean Kellenberger as head of marketing.

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

Why aren’t we talking about the human side of fraud defense, and what can firms do to better protect themselves and their clients?