Independent advisors

The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.

An arbitration panel has found Raymond James and its independent broker Kent Jackson Rhoades liable for nearly $20 million in an unfair competition case.

PIABA president talks about why getting online records erased is easier than many advisors think and why more barriers should be put up.

The challenges of studying for three notably difficult tests can pay off for financial planners — especially in today's competitive environment.

Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.

A survey by the Financial Services Institute finds most independent planners would rather set up RIAs than become direct employees of large firms.

The new year brings new regulations and the end of grace periods from federal and self regulators.

Moisand thinks a panel for reviewing financial planners' professional standards could be in place by mid-2023 but that their work could take years to complete.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.