Independent advisors

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

The line between independent firms and wirehouses is beginning to blur, causing advisors to rethink their options, writes recruiter Louis Diamond.

Giving serious thought to plan benefits and costs early on will attract top talent and establish a workplace where employees know their personal well-being is valued.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Bigger, better, faster is a label all giant companies want, especially in the hyper-competitive space of managing money for wealthy clients.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.

The annual advertising splash by the standard-setting group for financial advisors coincides with the March Madness basketball tournament and tax filing deadline.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

The panel plans to take through 2024 to complete its 'everything's-on-the-table' review of experience, education and exam standards.

The test for independent advisor representatives will have novel sections on IPOs and SPACs.

The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?

A new study by FINRA and NORC offered encouraging signs that people who put money into stocks and bonds for the first time in 2020 are in it for the long run.

John Poulos, a representative of a Vanguard subsidiary, temporarily loses the professional credential after being accused of murdering his 23-year-old girlfriend on a visit to her in Bogota.

The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.

Kathryn Dattomo will take over next month from a leader who doubled the planner group's membership and led efforts to enforce strict fiduciary standards.