The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

Next week, we'll unveil our annual Top Bank Advisers. In the meantime, see how you measure up to the leading advisers in the channel.

The new administration will have two paths it can take to stop the regulation from being implemented.

Though against the firm's policy, the wirehouse still permitted the purchase of securities with credit lines "on thousands of occasions" during a four-year period, according to the regulator.

A handy guide for advisers, legislators and regulators to decode the jargon used to talk about issues important to the planning profession.

The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.

The regulator claimed the firm provided inaccurate historical weighted-average performance results to customers who used PortfolioBuilder2.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.

Fiduciary rule preparation and new technology lures Integrated Financial Partners.

Whitley Hood declined to provide on the record testimony regarding allegations that she misappropriated funds from an affiliated bank.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

The fiduciary rule was an unintended gift for those who focus on income distribution planning.

Industry firms taking a similar approach can clarify confusion for clients and stem attrition among adviser ranks.

The firm also asked for the suits filed in federal court to be thrown out.

The ongoing trend to passive or smart beta products will continue, according to Maxwell Gold, the director of investment strategy at ETF Securities.

By offering specialized tax planning and retirement tools, this software has carved out a niche for itself for advisories with clients who have less than $2 million in liquid assets.

The catalyst is Trump, whose election, according to Macquarie Group analyst David Konrad, will usher in a "new world order" for the industry.

The mechanism for creating and turning over shares of ETFs needs more automation, Virtu told the SEC in a letter.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.