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The rule has been the most common ground for disciplinary action so far this year, according to an analysis by the law firm Sutherland Asbill & Brennan.

Social media is all about building trust and reputation, and the latest Edelman Trust Barometer shows its relevance is on the rise. Are you still on the sidelines?

Fidelity Investments is taking inspiration from sale season.

The SEC has pulled from within its ranks, tapping Jennifer B. McHugh as senior advisor to the director in its division of investment management.

Billionaire investors Warren Buffett and George Soros are calling on Congress to increase the estate tax as lawmakers near a decision on tax policies that expire Dec. 31.

Huntington Asset Services is looking to boost its sales team.

Mutual funds must identify themselves as legal entities involved in swaps and other financial transactions. But how to pay to register?

The end of the year is a time that is dominated by goal setting and making projections. While this is an important process for advisors and clients alike as they head into the New Year, many plan and set goals the wrong way.

Active exchange-traded fund purveyor AdvisorShares is launching the AdvisorShares Pring Turner Dow Jones Business Cycle (DBIZ) ETF on Dec. 19.

Gen Y clients may have high standards and a different way of doing business, but they may also very well become the clients who will sustain an advisor’s company. For one, these younger consumers have more capital invested in the stock market through retirement savings plans than any prior generation did at the same age, according to Vanguard Investment Counseling & Research Group.