Legal

How one broker-dealer and registered advisory, USA Financial, is dealing with the uncertainty over DOL fiduciary rule compliance.

The 5th Circuit Court of Appeals may prove to be the venue most favorable to the plaintiffs' claim that the DOL exceeded its statutory authority in crafting the fiduciary rule. Here's why.

The White House plan to work on tax reform is to start hearings and a markup of the bill after Labor Day.

Hackers likely used tools exposed in a hack of the NSA -- but that doesn't mean companies can easily sue the government over recent data breaches and win, experts say.

Broker-dealers and advisors to 401(k) plans face key compliance requirements under the existing transition period for the rule -- and sponsors will need to know if their advisor is deploying the BIC Exemption, and more.

FINRA informally contacted at least one of the attorneys involved in the dispute for information about the breech.