Organization Root Tag

It seems that a long bull market in transition deals may be coming to an end.

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

Adviser Dan Moisand was surprised by the decision not to delay the fiduciary rule further. But he wasn’t put off. Here’s why.

There is "no principled legal basis" to do so, Labor Secretary Acosta says.

Serving a client’s best interest means focusing on fewer households. Staying profitable means choosing the right ones. Editor Lee Conrad talks with LPL exec Arthur Osman about segmenting a book of business.

Scottrade and Schwab fell out of the top three, while Capital One Investing led a retail bank surge in the J.D. Power report.

The group opted to join HighTower, which has added nine teams so far this year.

Most fortunes disappear by the time grandchildren have taken control.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

C.L. King & Associates argued it did not break any FINRA rules.

The products are aimed at reducing volatility for clients seeking long-term growth. Plus: other launches.

A 2014 law lets clients disabled before the age of 26 to save as much as $14,000 annually without facing any tax burden.

The number of employees involved in compliance and regulatory work at U.S. Bank doubled over the past three years.

Fee-only advisors should view it as a way to help more people rather than a sales exercise, according to one consultant.

Robert Goff discusses how to maintain culture without generating conflict.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

The firm’s newest team left Wells Fargo’s independent channel.