Broker dealers

After serving 18 months in jail, Craig Rothfeld knew “other people would need help too.”

That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…

The all-in-one platform model is attracting some of the largest firms as consumers increasingly acclimate to housing all their financial needs under one roof.

Planners — and RIAs that want to hire them — have faced hurdles tied to client solicitation rules.

In the 1960s, iconoclastic reformers started a campaign to kill fixed brokerage fees. Today, we’re witnessing the logical culmination of that effort.

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.