Federal judge, who issued similar ruling in August, says agency could solve the problem easily.
What the state of adviser recruiting might look like in 2016, from the wirehouses to the independent space
Advisers that embrace this disruption and offer a wider range of services will thrive and prosper in the digital age.
Advice industry is in the early innings of what promises to be a new period of major technological change.
How she created a successful hourly financial planning firm for the average person despite early mistakes
Leaders should be good listeners, and once making it to the top, realize they can no longer be friends with anyone.
His mother's early death and a critical illness of his own contributed to Mr. Purcell's view of the world and the way he leads his firm's 3,200 professionals.
They agree with intent of possible legislation, but worry about compliance costs.
The best investments are the options that align with clients' values and goals.
What to review during your first diversification discussions with clients.
Agency to lean more heavily on Finra as SEC shifts some of its own resources toward registered investment advisers.
<i>Breakfast with Benjamin</i> The year is only 39 days old, but top Wall Street strategists have already lost faith in their bullish estimates for the S&P 500.
Advisers are focusing their energies on managing investment expectations and trying to stifle panic during market gyrations.
Having people in place who can handle the extra administrative workload should be a priority.
The industry's proverbial war will be won by advisers who understand the power of technology.
Advisory firms should not rely solely on national averages, but consult with local colleagues to gauge competitive rates.
Profound misrepresentation is just one of the many ways the financial services field misleads customers with language.
The regulator must find a way to increase the productivity of its examiners
The self-regulatory organization is continuing its recent push to hold broker-dealers accountable for the suitability of product sales.
Finra ordered a dozen firms to pay restitution and fines totaling $6.7 million for failing to give clients discounts for large purchases of unit investment trusts.
