Corporate governance

From a logo inspired by a clothing decoration to a name inspired by the cosmos, learn why these eight financial services revamped their brands.

After prospects become customers, planners have many questions. Here's a look at a somewhat painful yet pivotal phase of the relationship.

A traditional focus of organic growth efforts is receding in importance for prospective customers — making a strong online footprint a requirement, experts say.

FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.

Morningstar's study suggests that emotional or personal motivations are just as important or even more significant than a need for "functional" professional services.

The National Association of Treasurers launched a new tool that allows individuals to compare the features of different states' ABLE programs.

The broker-dealer self-regulator argues that the enforcement decline is a result of its success in driving bad actors from the industry.

The three influential figures' presentations at Morningstar's conference offered a primer on navigating a challenging field increasingly driven by technology.

Stephen Rhodes, the founder of Signify Wealth, has built the advisory practice into a 15-employee firm managing $250 million. Here's the story of his pivotal decision 12 years ago.

The many ways of measuring success in the West End of St. Louis could add up to policy solutions for narrowing the racial wealth gap — if the Invest STL Rooted program is successful.

Amid the painful backdrop of history and the scale of the present-day challenges, pro bono financial advisors are focusing on their clients.

An SEC rule that would increase requirements for companies to disclose their emissions was paused following a lawsuit this spring.

The trailblazers who have found success in challenging circumstances shared key lessons and best practices as part of what will become an annual event.

The terminations come amid a renewed push by firms to haul employees back into the office.

Jeffrey Levine and The American College of Financial Services hope to help more financial advisors branch into the related but historically separate field.

New CEO Ted Pick sees little need to change the "wealth management machine" his predecessor helped bring to "escape velocity."

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

An industry lawyer says the firm's liability in a complex insurance-related scam will hinge on what it "should have known" or "must have known."

High-earning participants in the expanding universe of retirement plans offer a wellspring of potential clients for firms and advisors.

Concurrent Financial Planning brings academic gravitas to its growth plans under the firm's founder Preston Cherry and his wife, Managing Partner Eiman Osseilan.