Regulation

The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

Kestra Financial’s James Poer offers advisors his three predictions for the new year.

The scheme ensnared about 8,400 investors, the regulator says.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

"Maybe commissions aren’t so evil after all?"

More than 15 similar products have been proposed since 2013. Some applications were withdrawn. Others are in purgatory.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

The need to eliminate complexity, boost transparency and create efficiencies is stronger than ever.