The original industry regulations from 1934 and 1940 were perfect — just not perfectly enforced.
Push by advisers could help tug this needed legislation out of the doldrums and on to the president's desk.
Richard William Lunn Martin improperly recommended non-traditional ETFs while warning of economic collapse, Finra said
National Holdings Corp. said it reached an agreement to be acquired by Fortress, a biopharmaceutical company.
Supporters of 529 plans want tweaks to law that caps fund changes at two per year, which could spur adviser interest in managing them.
The wealth manager overbilled for investments in REITs and BDCs
First off, advisers should tell them that adding international stocks can dampen a portfolio's volatility, and increase the number of potential winners.
Here are some of the most critical and potentially damaging misconceptions held by compliance professionals.
Many financial professionals haven't taken the time to study how to tell the right story to resonate with their target audience.
Many advisory firms are playing with fire by failing to report to regulators cybersecurity breaches, both big and small, experts say.
A move by the Securities and Exchange Commission to beef up oversight of investment advisers probably will not stop the agency's effort to establish third-party exams for the sector.
How can those suing to quash the DOL rule, like SIFMA CEO Ken Bentsen Jr., claim to also support its premise?
Another item of interest to financial advisers, third-party exams, is also on the docket for next spring.
<i>Breakfast with Benjamin</i> The commission is specifically looking at why some clients are in advisory accounts versus brokerage accounts.
Ryan Parker joins RIA in the latest of many executive departures from LPL in the past few years.
Records of thousands of clients were exposed to foreign hackers, regulator claims.
The plaintiffs and Labor Department are seeking summary judgment for the cases in a Dallas federal court, with a decision possible in October.
The Pohlen Terris and Kasper Group joined the Minnesota office.
More and more professionals who advise on personal matters — from financial advisers to lawyers — are realizing they need to know whether, when, and how to talk about their clients' sexual orientation.
Former Fed vice chairman says he doesn't support litigation over the controversial regulation.
