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Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

AdvicePay from Alan Moore and Michael Kitces is aimed at streamlining payments to advisors.

If an acquisitive advisory firm doesn’t perform due diligence on the seller’s fee structure, headaches are guaranteed, Michael Kitces writes.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

Nov. 13: Planners behind the curve may lose out on productivity and quality of service offered to clients.

The UHNW world is jolted by unwanted offshore disclosures and prominent executives are finding themselves in an uncomfortable spotlight.

Investors may be growing impatient with implementation of the administration’s agenda, an analyst says.

The tax plan would make itemized deductions less valuable so some seniors would lose a deduction that covers payments for nursing homes, assisted living or inpatient hospital care.

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.