Expenses are rising, but revenue is flat as the regulator holds off on raising member fees.

The index rose more than 300 points, reaching its highest close ever.

The advisor transferred funds from his sibling's Wells Fargo accounts and deposited them into a jointly owned account that he used to pay off credit card debts and fund home improvements, FINRA claimed.

Adding five years to their working years will enable clients to replace their pre-retirement income by up to 90% instead of 60% in some cases.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The proliferation of smart beta and increased AUM are among the forecasts by industry experts.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.

Advisors reported significant growth in assets under management and expect more of the same in the coming months.

Liquidity and valuation are the regulator’s key areas of concern.

The law allows clients the ability to make tax-free withdrawals for elementary and secondary school expenses.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

While the ranks of women who hold the certification surged, they still make up only 23% of the pool.

The regulator outlined the top priorities for 2018 examinations.

New digital currencies are subject to little or no regulation, the investor protection watchdog cautions.

Known for his advocacy for planning at all income levels, Paré wants the FPA to expand its membership to 24,000 and beyond.

Complaints lodged against the firm through Dec. 15 dropped 18% from the same period of 2016, federal figures show.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

The online tool, created by the advocacy organization and state regulators, suggests tough questions for the hiring process.

Brokerages have broken ranks in recent weeks over whether to facilitate clients’ bets on bitcoin amid widespread concern that it’s a bubble or that the cryptocurrency’s price is potentially susceptible to manipulation.