Legal

The Office of Compliance Inspections and Examinations has launched the Retirement-Targeted Industry Reviews and Examinations Initiative, a multi-year program that will home in on RIAs and broker-dealers advisory practices.

The Department of Labor's proposed fiduciary standard faces yet another hurdle.

The effort by the Securities and Exchange Commission to write a uniform fiduciary regulation for the brokerage industry could be limited by language in the Dodd-Frank Act.

The Supreme Court won't review the R.J. Reynolds "reverse" stock-drop case.

One interest group against the DOL fiduciary rule tells why the proposed standard for advisors won't work.

Great-West's motion to dismiss a case against it was denied by a federal judge, and the putative class action will move forward.