Regardless of whether President-elect Trump rolls back the rule, these products are here to stay.

Regardless of whether President-elect Trump rolls back the rule, these products are here to stay.

Among the predictions: Trump's anti-regulation stance could put a damper on the burgeoning regtech market.

Why firms shouldn't wait to revise a planner's pay until they’re about to leave the firm.

Why firms shouldn't wait to revise a planner's pay until they’re about to leave the firm.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

Advisers will not be able to serve as many clients under a fiduciary standard, which likely will encourage more cross-selling.

The wirehouse's moves are intended to remain competitive in the recruiting contest for top brokers.

Advisors Asset Management CEO Scott Colyer says loosening regulatory reigns may free up spending previously directed toward compliance.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.

"Advisers cannot just sell an all-Vanguard portfolio and hope to afford their fee," says Jonathan Steinberg, WisdomTree's CEO.

Looking to reach out to more potential clients, adviser Dave Grant tests two new platforms: Snappy Kraken and Twenty Over Ten

Analysts say there may be increased activity in 2017 among "active-oriented traditional managers," spurred by performance issues.

The overwhelming majority are planning for the rule to go into effect as scheduled, with only 5% slowing down their preparations.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

Despite anticipated tailwind, the firm's ETF product management head says investors still have cost control.

FINRA fines Lincoln Financial Securities for foreign hack attack.

The bank announced that its retail brokerage arm will move to a level-fee pricing model for customer retirement accounts by April 10.

President-elect Donald Trump's victory has spurred a steepening of the yield curve fueled by rising term and inflation premiums.