Independent advisors

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.

The panel plans to take through 2024 to complete its 'everything's-on-the-table' review of experience, education and exam standards.

The test for independent advisor representatives will have novel sections on IPOs and SPACs.

The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?

A new study by FINRA and NORC offered encouraging signs that people who put money into stocks and bonds for the first time in 2020 are in it for the long run.