The industry research organization LIMRA sees reasons for optimism despite flat overall sales figures in the first quarter.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

CFP candidates must master the new material in time for the November exam.

A pen and paper or more advanced methods of documentation can save financial advisors from a variety of troubles.

How can the industry find organic growth again? And where will the next generation of advisors come from? Bill Willis tackles both challenges, and discusses how they will affect compensation, as we elaborate on the issues discussed at our Recruiters Roundtable.

The ruling scuttles the state AGs' bid to win reconsideration of the DoL’s regulation.

How technology could continue to disrupt financial planning.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

Although designed to spur productivity, the Tax Cuts and Jobs Act could have the reverse effect.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

The advisor defrauded some 100 clients by persuading them to invest more than $71 million in 16 private funds offered by his two investment advisory companies, the SEC claims.

What should advisors expect from the upcoming regulation?

With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.

Advisors have very little power to fix the health care system, but they can help others manage skyrocketing medical costs.

There are three top specialties that survey takers said they want when choosing a new financial planner, with one clear winner.

Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.

Top wealth planners say they’re seeing increased interest in dynasty trusts as clients look to capitalize on the new tax law.

The brokerage sector and investor advocates are gearing up for a fight over broker provisions.

The rep processed a $9,850 wire request from an imposter posing as a customer, even after the customer called to say that the request was not genuine, FINRA claimed.

While it offers a hefty tax deduction for pass-through income, an expert says the rules are a "convoluted mess.”