Independent advisors

The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

The line between independent firms and wirehouses is beginning to blur, causing advisors to rethink their options, writes recruiter Louis Diamond.

Giving serious thought to plan benefits and costs early on will attract top talent and establish a workplace where employees know their personal well-being is valued.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Bigger, better, faster is a label all giant companies want, especially in the hyper-competitive space of managing money for wealthy clients.

Cetera director of regulatory affairs sees Reg BI as a key way to preserve investor choices.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.

The annual advertising splash by the standard-setting group for financial advisors coincides with the March Madness basketball tournament and tax filing deadline.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.