Independent advisors

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

The giant asset manager and its rivals like Vanguard and Schwab are all benefiting from offering advisors funds bundled into ready-made strategies.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

Among the respondents who work with financial planners, about 7 out of 10 said they have high hopes for 2023. For those without planners, the figure fell to 42%.

The panel's recommendation would also seek comments on the possibility of outsourcing some review functions to third-party firms.

Even with the overall decline in people seeking financial advice, the number of investors wanting help specifically with asset management is on the rise.

The number of ultrarich families is growing, and so are their demands on advisors. Schwab moderated a panel on how RIAs can succeed with these clients.

The Investment Adviser Association contends federal regulators have not taken into account the likely onerous cumulative effects of their proposals on cybersecurity, outsourcing and data security.

INVEST 2023 panelists and the latest SEC risk alert suggest the regulator will treat the rule much like one that has cost big Wall Street firms more than $2 billion in fines.

A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.

The Senior Citizens League worries the increase won't be enough to keep up with rising prices for housing and healthcare.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.

Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.

A survey from the FINRA Foundation and CFA Institute finds that cryptocurrency and individual stocks remain popular with the younger crowd.

The case is the latest arbitration decision showing risks advisors run when they jump ship and think they can take investors with them.

One industry recruiter called the Aegis group at Lincoln 'the last people we expected to move.'

The banking giant plans to put all asset managers through training in Python programming language, whether they 'like it or not.'

Although most advisors and brokers see both pros and cons to operating outside the office, few are ready to abandon their new schedules.