Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Friday the 13th is considered an unlucky day — this year has three. We asked advisors to share their scariest stories of client mistakes.

PE money eviscerates an RIA's client-first culture, leading to advisor burnout and turnover.

RIA leaders are debating "digital employees" but expect service models to expand to meet growing HNW needs, says industry observer Ric Edelman.

Wealthy clients and the firms that serve them should cultivate a "zero-trust" mindset to repel hackers and their increasingly sophisticated digital scams.

For a newly launched RIA, its website is one area in which less can be more — but only if the firm's online HQ puts the right visitors on the path to conversion.

As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.

Many express frustration with either real or perceived doubts about clients' concerns, but experts say they're missing an opportunity to address them up front.

Financial Planning announces its 2026 class of the top 40 most productive employee wealth management brokers under the age of 40.

The growth of CFP Board-registered programs, from certificates to doctoral programs, reflects the industry's shift away from commission-based models.

The annual ranking of the fee-only RIAs with the most assets under management — see the top firms.