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The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

Recruits from Morgan Stanley and RBC joined the independent firm affiliated with Raymond James.

On Wall Street's annual ranking of successful young planners.

Wealthsimple is backed by the same investor, Power Financial, that last year injected $75 million into Personal Capital.

Advisers are seeing clients drawing down on their assets, but there’s a solution right in front of them.

Firms like the Denver-based money manager that run actively managed strategies have been losing to competitors offering lower-cost mutual funds and ETFs.

There's a better way to craft a standard that would protect investors and preserve client choice.

The move echoes a larger effort by Wall Street to boost brokerage revenue as investors flee actively managed funds for cheaper products.

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

Concerns about medical expenses are sky-high, but there are solutions.