Broker dealers

While advisors have embraced cheaper trades, the move may have long term effects on strategies for client portfolios.

Supervisory failures at LPL Financial, J.P. Morgan Securities, Morgan Stanley, Merrill Lynch and Citigroup prevented assets from moving to beneficiaries on time.

One size fits all? The single form for disclosure of client-advisor relationships applies even if firms offer multiple products and services.

The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.

Who wins, loses after the massive BD merger crosses the finish line?

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.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

The SEC’s 564-page rule shows the new disclosure could prove time-consuming, even vexing, for firms.

Simple solutions may be a better alternative to customization, says the company's CEO.

The decision comes a decade after the collapse of the infamous scheme.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.