Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

The influential retiree advocacy group filed for a 17-judge review of the decision.

The products have grown in popularity after undergoing significant changes in recent years.

Wall Street whistleblowers just got another reason to take their gripes directly to the SEC.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

Holiday parties and team-building outings may still be deductible. What about entertaining prospects over dinner?

Although annuities incur taxes and costs, clients "can invest the same amount into a diversified municipal bond portfolio and pay no taxes,” an expert says.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

By requiring brokers to look out for clients’ best interests, the SEC is effectively requiring them to give financial advice, which distinguishes them from online brokers and should let them keep charging clients premium fees.

How often should CCOs pay a visit to branch offices?

An unregistered advisor with little investing experience raised $1.4 million from family and friends and then squandered the money on bad investments, federal prosecutors say.

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.

"I still feel like NAPFA is one of the best kept secrets in the planning world and we want to change that," NAPFA CEO Geoffrey Brown says.

“The broker-dealer world has tried to hang their hat on suitability, and if you close your eyes a little and squint, they almost look like fiduciaries — but not really,” one advisor says.

The defrauded clients included the advisor’s own in-laws, who had suffered from Alzheimer’s and a debilitating stroke.

A majority of affluent Americans are likely to adjust their financial plans under the new law, according to the AICPA. Here's how advisors can help.

If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.