Regulation

One expert feels the marketing advantage is exaggerated because clients come into an adviser relationship like a marriage: "They’re not expecting to get divorced.”

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

It’s time to consider payment schemes that are more transparent and better aligned between who pays the cost — and who enjoys the benefits.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

The strategist, who has long criticized the BRIC idea, changed his views as the Fed appears to have capped long-term U.S. yields, even as it raises rates.

Companies in the Russell 2000 index are among the biggest beneficiaries from President Trump's growth and tax reform agenda, and a stronger dollar.

It behooves advisers to be ahead of the pack in embracing the idea.

Increased longevity will challenge the performance and use of products, said Sri Reddy, head of full service investments at Prudential Retirement.

The benefits of going independent are alluring, but wirehouse advisers can't afford to discount the formidable challenges ahead.