Analysts are worried that flows to passive funds may create lockstep moves between shares, distorting the market.

A massive acquisition, the possible end of the Broker Protocol and other issues will shape the industry in 2018.

The IBD's longtime head stepped down as part of a plan to remake the firm.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

The uncertain tax and legislative environment means that year-end tax planning is more important than usual. To help clients and businesses prepare for filing season, here are helpful tips.

Nov. 27: Product shelves are changing as issuers modify their pitch to planners in the wake of the fiduciary rule and wane of traditional wholesaling.

The violations, which occurred from January 2009 through May 2017, affected approximately 95% of the firm's non-registered employees, according to FINRA.

The rep used an unauthorized ATM card he secretly created to swipe $120 from a customer's bank account, FINRA claimed.

Wholesalers have taken a new tack for a group leery of sales calls, regulation and litigation.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

Some fund managers specializing in distressed debt smell an opportunity.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

Most of the barriers protecting wealth management from tech competitors have been chipped away, executives say.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

The board will release new proposed revisions and seeks additional public comments.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

“Your risk of being audited goes up,” says RIA powerhouse Ron Carson.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

The rule’s impact could be “devastating if independent research ceases or is significantly diminished,” the manager warns.