Independent advisors

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.