Kenneth Corbin

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.

Rival firms like Ameriprise could stand to gain as advisors adapt to new recruiting realities.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

The wirehouse is charting a litigious course since breaking with the Broker Protocol, and some observers think the scorched-earth campaign could harm its reputation.

"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.

The test will also be modified to account for the new tax law while aiming to plug leaks in the pipeline from college to CFP certification.

Finance professor Tom Warschauer calls on the academic research community to improve communication and further understanding of clients' behavior.

Planners must make accurate disclosures about their service models, says the regulator.

Come forward now or face penalties later, the regulator is warning advisors who failed to disclose conflicts of interest around high-cost mutual fund share classes.

"Simply put, the plaintiff here is looking to be paid the same money twice," a spokeswoman for the Swiss firm says.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

In the latest clash after Morgan Stanley's exit from the Broker Protocol, the firm notched a win as the case heads to FINRA arbitration.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

Solid financial planning is a key component in helping demystify these government programs.

John Taft comes to the firm after a long career in wealth management. He will focus on developing advisor services and recruiting new teams.

These young planners share a commitment to hard work, but have deployed very different tactics in building their practices.

The ratio of women to men CFP holders hasn’t changed for at least a decade. Kathleen McQuiggan wants to change that.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

While the ranks of women who hold the certification surged, they still make up only 23% of the pool.

The regulator outlined the top priorities for 2018 examinations.