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  1. Fund Fees on Trial: Our Report from the Courtroom

    Morningstar's Ryan Leggio reports on the Supreme Court justices' questions during oral arguments in the Jones v Harris case and how they may be leaning.

  2. Is Your Broker Up to the Standard?

    The legal standards required of brokers may not match investors' expectations of a fiduciary relationship, says Harold Evensky of Evensky & Katz Wealth Management.

  3. What New Rules Mean for Your Money Market Fund

    New rules should make money market funds even safer, but yields may suffer even more. Morningstar's Christine Benz offers investors a few alternatives to consider.

  4. Vanguard's Sauter on How to Prevent Another Flash Crash

    Vanguard's Chief Investment Officer Gus Sauter outlines his ideas for robust market circuit breakers and other trading changes.

  1. SEC idea for harmonization a 'disaster' for advisers, says industry advocate

    The Securities and Exchange Commission may move ahead with "harmonization" of broker and investment-adviser rules before deciding whether to propse a rule that would raise investment-advice standards for brokers. That is creating concern in the adviser community.

  2. SEC warns investors that advisers could be mishandling assets

    The SEC has warned investors that advisers may be mishandling their assets. The caution comes after examinations uncovered custody-related problems in one-third of the firms reviewed.

  3. Wait for Your Pitch in Today’s Market

     

  4. State Regulator Blasts Arbitration Clause in RIA Contracts

    The secretary of Massachusetts told the SEC on Wednesday to ban the use of mandatory pre-dispute arbitration clauses in the contracts of RIAs, saying that such clauses may not be in the best interests of clients.

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