Latest News

SEC advice rule seeks to tighten reins on brokers

April 18, 2018

The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down. ​

SEC advice rule: Industry groups brace for debate

April 18, 2018

Trade groups are champing at the bit to have their say in response to the SEC hearing.

Thomas James recognized for his impact on financial planning

April 18, 2018

The chairman emeritus of Raymond James said his best innovations were born out of necessity.

SEC advice rule hearing updates

April 18, 2018

Commission says a lot of work ahead, public will have 90 days to comment.

Wealthfront cutting costs on its risk parity mutual fund

April 18, 2018

The digital adviser says it's moved $500 million over to first proprietary fund.

Morgan Stanley's wealth management unit sees record profits

April 18, 2018

Firm does more with fewer advisers during the first quarter.

One adviser's journey to becoming a citizen advocate

April 18, 2018

FSI member Bradley Brown spent years lobbying the Ohio legislature for reforms in the state's rules on UTMA accounts.

Investing in virtue is hard when few companies qualify

April 18, 2018

Two biggest socially responsible ETFs both have positions in Facebook

SEC advice proposal unveiling: Here's what to expect

April 17, 2018

Chairman Jay Clayton will initiate momentous action Wednesday, as the commission meets to debate a rule on broker and adviser standards.

SEC bars adviser charged with stealing more than $1 million from clients

April 17, 2018

Scott Newsholme faces 20 years in prison and $500,000 in fines.

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