Financial planning

Yes and no, experts say. But it's a thorny issue given that many IBD advisors consider themselves fiduciaries and do most of their business through RIAs.

Pushing out its app on the same day as Apple's latest show is an example of Fidelity taking advantage of a first-mover branding opportunity.

Announcing its automated investment product, Schwab takes aim at new digital advice competitors.

The review is likely to start with broker-dealers and their platforms; It will coincide with a second, more targeted phase of the commission's cybersecurity sweep.

BofA and its Merrill Lynch unit were sued by two former advisor trainees who claim they weren't paid overtime for 10-hour days, long nights and weekend work.

One strategy to handle the risk of higher interest rates is to invest in ETFs; Plus, picking a place to retire.

The latest earnings reports from Raymond James, Ameriprise, Stifel and RBC show how these key regional broker-dealers measure up.

Learn how to earn money through IRA rollover options; higher earners should be aware of six mistakes that could result in higher costs and taxes; plus cheaper retirement plans for small firms with help of a new tech startup?

The SEC acknowledges that cybersecurity requirements vary from one practice to the next, but insists that the tone from the top is critical.

Getting to intimately know the business and culture of CapGroup Advisors was key to this week's merger, says Michael Nathanson, chairman and chief executive of Colony Group.

Don't emphasize the money they'll make or the firm's reputation. Focus instead on work-life balance.

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

Advisors who can bring in and work with clients, wealth strategists with tax and accounting expertise and successor CEOs are in greatest demand.

Plus, a tax-free trick many ordinary Americans don't know about, best strategies for a tax-free income, and how a tax-savings strategy on property capital gains is re-emerging.

The move highlights a broader shift in the way large regional banks are running their wealth management businesses.

The emerging affluent may end up with more assets than their older (and wealthier) counterparts.

The 101 most popular funds for retirement savings; the importance of rebalancing portfolios to avoid moving stocks in bear markets; and how investors can put money into annuities and IRAs when a 401(K) isn't enough.

The challenges women face -- earning less and living longer on average than their male counterparts -- greatly affect how they invest and what they're looking for in a planner.

The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.

The IRS is continuing its enforcement push against refund fraud and identity theft, and today announced the top ten identity theft prosecutions for fiscal year 2014.