Independent advisors

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.

James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'

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.