News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.

Many ETFs will avoid some aspects of sweeping new U.S. regulations meant to ensure that asset managers can easily meet investors’ redemption demands.

The challenges that asset managers face: rising regulatory costs and growing pressure on fees from cheaper competitors.

Planners and brokers alike must revisit their policies and procedures, caution legal and compliance experts. Here’s where to start.

More than a quarter of enforcement cases the commission brought in the just-ended 2016 fiscal year targeted planners and investment companies.

Shareholders shouldn't hold out too much hope for a takeover and here is why.

Industry experts survey the field of potential suitors.

The adviser claimed PNC falsely accused him of not having met with two clients for their annual review and challenged the firm for writing him up for falsifying documents.

After the fiduciary rule was announced, it wasn’t clear how brokerage firms would adapt. Here's why the wirehouse is a standout on its approach to the new regulation, and why one competitor isn't.

A tale of two banks emerges from a hearing on Wells Fargo's phony account scandal; one calls the problem an aberration, the other routine.

The Wells Fargo scandal has given the sale of loan and bank products a bad name, but experts say that, done right, it is a crucial revenue driver.

Digital advice clients "have affirmatively chosen not to enroll in comprehensive financial planning," according to a newly published white paper.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

The metal's retreat has taken place against a backdrop of investor concern that the world's leading central banks.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

The wirehouse, which is embracing the new regulation, is the first to unveil its strategy in depth.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

Robert Tricarico worked for five firms and had 16 FINRA disclosures over 20 years.

“A new era is dawning for advisers and long-term investors of all kinds,” Mark Wiedman, global head of iShares, said in the statement.