The country's largest independent broker-dealer added 100 advisers in the second quarter.

"The trend is moving toward fee-based planning and removing commissions from the equation," says Artisan Advisor's Tim Smith.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

Consultants are turning to technology as the SEC ramps up RIA exams.

Consultants are turning to technology as the SEC ramps up RIA exams.

The firm, which claimed it missed when Michigan made the requirement a law, called the oversight a "mistake."

The newly approved rule could shave months off the process of getting active ETFs on the market.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.

The company’s survival may depend on a continuing security awareness training program.

Index funds often benefit from a low-cost halo. They don't all deserve to bask in that glow.

CEO Paul Reilly says the firm has hired new compliance professionals and is also working with outside attorneys in order to prepare for new regulations.

While surprised by Donald Trump's decision to add the reinstatement of the 1930s-era banking law to the GOP platform, Republican lawmakers at the convention in Cleveland maintained that Trump is a better choice for the economy and the financial system.

FINRA cracks down after $1.3M theft from 89-year-old client.

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.