Broker dealers

Brokerage firms that sell the funds must determine whether clients understand their risks — a requirement that could discourage offering them at all.

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.

Gurinder Ahluwalia, CEO of 280 CapMarkets, outlines new bond-trading infrastructure for wealth management, along with his argument for why fears of PE capital are unfounded.

As the fee-based financial planning network adds more members and rolls out new services, some members raised questions about its ongoing business strategy.

The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.

Due to a 2010 FINRA rule change the answer is — with difficulty.

IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.