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Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

How can the industry find organic growth again? And where will the next generation of advisors come from? Bill Willis tackles both challenges, and discusses how they will affect compensation, as we elaborate on the issues discussed at our Recruiters Roundtable.

The Treasury is expected to sell a combined $99 billion of fixed-rate notes this week, in some of its largest offerings since 2010.

The new strategy will focus on long-term ownership of income-producing companies, not unlike Warren Buffett’s buy-and-hold style.

Independent Financial Partners’ CEO predicts the firm will retain about 80% of its business, despite a daunting series of challenges.

Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.

Top wealth planners say they’re seeing increased interest in dynasty trusts as clients look to capitalize on the new tax law.

Buffett can put cash to better use than paying dividends. But the majority of CEOs lack his skill so investors and their advisors should be happy when corporate boards pay shareholder dividends.

The firm broke off from its OSJ and followed four others of its type in leaving the No. 1 IBD after a change in its RIA rules.

The firm cannot increase assets until it comes up with a plan to fix its internal controls.

The investment gives the world’s largest asset manager a focus on small-time investors.

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.

The No. 1 IBD has completed the NPH acquisition, but CEO Dan Arnold unveiled further growth initiatives amid challenges to its dominance.

The effects are looking like "every other much-hyped tax cut of the past three decades.”

"We're told that good advisors stay away from politics, but I disagree," says one advisor.

Investors may support the pay hikes, but protesters says the bank owes customers more.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

By requiring brokers to look out for clients’ best interests, the SEC is effectively requiring them to give financial advice, which distinguishes them from online brokers and should let them keep charging clients premium fees.