Commentary

The SEC can fix its flawed proposal before it issues its final rule by making these 4 main changes.

For some, ownership is a “free pass” that allows them to not be accountable to anyone and therefore to not have to perform.

Brokers have created investor confusion by using “advisor” to skirt the ban on using “adviser,” says one industry leader.

As the midterm elections approach, voters ought to take stock of the harm that has deliberately been done to an initiative that the U.S. badly needed.

The DOL's enforcement statistics are a good reminder to plan sponsors that they'd better pay attention to compliance matters.

For work or for pleasure, here's a list of recommended reading for brokers.

There comes a time when there's no turning back – you are a fiduciary.

Yes, a fiduciary must “know” the client. But he or she must also know what a fiduciary is responsible for.