Regulation

An abundance of software and practice tools has planners and firms overwhelmed. Here’s what it means for the industry.

Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

New solutions offer plenty of features but lack focus.

Susan Axelrod will leave the self-regulator after 28 years on the job.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The advisor reportedly sold $48,500 worth of securities in a purported computer products wholesaler without disclosing the transactions to his then employer, J.P. Morgan Securities.

CEO Jim Cracchiolo reported record client assets and a sharpened focus under the fiduciary rule.

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.