Banco Popular de Puerto Rico

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

A tech-savvy Generation X is poised to become a practice's most valuable clientele. But slick apps and interfaces aren't enough to attract this group of investors.

If you want to eventually sell your practice for a big pay day (and not everyone does), aim for annual growth of 15%.

Financial planning professionals tell us sexual harassment is pervasive. Can that change?

Books can be great marketing tools, but also time consuming.

How can advisors best use the investment research firm's data to help clients?

It appears the regulator bought into the investor choice argument of sales reps right from the beginning.

Failing the test can be devastating, but you shouldn’t quit. Avoiding these mistakes may help you earn a coveted passing grade.

“The broker-dealer world has tried to hang their hat on suitability, and if you close your eyes a little and squint, they almost look like fiduciaries — but not really,” one advisor says.

Advisors need to educate clients — but not dumb down their advice — when it comes to the complex world of these investment vehicles.