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To correctly identify their risk tolerance, clients must not only understand how to react to risk, but also how the market environment and investment experience have impacted them.

They’re grinding forward with changes, even as complicating factors emerge ahead of when the rule takes effect next year.

Revenue numbers take a back seat to cultural and leadership intangibles when selecting a partner who will preserve your firm's value and carry it into the future.

After an investigation into the self-disclosure of regulatory incidents, the board is looking to strengthen the review process and clear up public confusion.

Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.

Interest in acquiring advisory firms appears to be at an all-time high.

The firm’s new additions include three brokers previously affiliated with Wells Fargo Advisors.

Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.

It’s the latest victory for brokers fighting to reclaim pay withheld by a former employer.

Those leaving the workforce before 65 need more cost-effective places to live.