Regulation

Raymond James is seeking to undo a fired advisor's arbitration win against the firm, arguing that a FINRA arbitration panel exceeded its powers.

The research firm says its new rating will be a tool to help investors verify that funds invest according to socially conscious principles.

Independent robo providers still have a chance to survive and reach sustainability, thanks to an expected flood of smaller accounts being shed as a result of the rule.

SEC Chairwoman tells lawmakers that a uniform fiduciary proposal is advancing and appeals for a funding increase that would be used to beef up advisor exams.

Implementing the rule is a key legacy goal of the Obama administration.

Although an arbitration panel sided against the wirehouse, it awarded her far less than the $476 million in damages she had sought.

The timeframe for implementing the rule is unrealistic under the original proposal, according to the general counsel for SIFMA, an industry trade and lobby group.

An advisor involved in firm's arbitration hopes a customer will agree to a deletion of the record of complaint from their CRD report. But that may violate FINRA rules. Here's how.

An arbitration panel found that a client's complaint about a former wirehouse advisor was "factually impossible or clearly erroneous."

In a surprise move on Wednesday, the company went public with its plans to prepare its advisors and financial institutions for the coming regulatory changes.