A parade of Industry experts and regulators testified in front on a Congressional panel today on whether investment advisers need a self-regulatory organization. The upshot? An SRO is necessary -- and Finra may be the best bet for the job.
A new online database allows donors and advisers to search for donations of $1 million or more
Cheryl Holland didn't worry about the bottom line during the first 10 years at her financial advisory firm, Abacus Planning Group Inc.
MSRB to issue more guidance on college savings vehicles by year-end; could be complicated for distributors
A recent episode of “Weeds,” a Showtime television series that features a marijuana-selling single mom, raises the question of what would happen if a crooked financial professional managed a federal investigator's retirement money
The bold new era of regulation that Congress laid out in the Dodd-Frank financial reform law has not arrived — at least not for financial advisers.
Advisers need to get with the times, survey results suggest
Mike McGervey recalls the utter surprise of it all
