Regulation

FINRA is pressing ahead with a controversial new rule that would require brokers to make disclosures about recruitment compensation they receive as an enticement to jump to a new firm.

What can you say without crossing the line and violating a non-solicitation agreement?

Do you know when a customer complaint is reportable?

A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.

The two big wirehouses back the CFP Board’s move to strip out its 'fee-only listings.

All in all, a government shutdown would be a major irritant, but would not have much impact on our clients or commerce in general. The trouble starts if the government defaults on its debt.

As Septmber draws to a close, we've gathered together the most popular stories of the month. Don't miss the top five.

As September draws to a close, we’ve rounded up the most popular stories of the month. Don’t miss the top five.

Two planners who are suing the CFP Board amended their complaint to seek unspecified damages in addition to earlier claims seeking an admission of fault from the board as well as the quashing of a public sanction for calling their practice fee-only.

Executives at mutual fund companies, asset management companies and support providers rated client reporting-which included any reporting that is created for the purpose of distribution to clients-as their top challenge followed closely by risk management in Money Management Executive's third annual Operations Survey.