Those who provide local governments with advice on derivatives won't have to register.
Stifel, subsidiary broker-dealer agree to pay fines and restitution for sales of nontraditional funds.
Tom Perez trying to push controversial proposal over the finish line but it's taking some time.
Laurie C. Kamhi is breaking away from Merrill Lynch Wealth Management's Private Banking and Investment Group, where she managed $320 million for well-heeled clients and institutions.
Concern over cost of doing business for advisers, lack of choice for consumers.
Despite growing economic concern, there is no shortage of reasons for optimism
Giving investors and advisers to 'make a trade-off between the lower-cost option or the opportunity' from actively managed portfolios.
Bloomberg columnist William D. Cohan on the saga of Jill Wile, a former manager in the southeast regional office of the Financial Industry Regulatory Authority Inc.
If approved, the rule would require brokers who receive more than $100,000 in incentive compensation to notify clients in writing; some say it could chill recruitment.
<i>Breakfast with Benjamin:</i> How investors are playing the markets. Plus: Kitces on the fee vs. commission problem; solving mysteries and who Facebook is leaving in the dust.
Differing definitions of “fee-only” were hashed out by the Certified Financial Planner Board of Standards Inc., NAPFA and the Financial Planning Association earlier this week and while no conclusion was reached, the CFP Board will have the last word.
IBDs and wirehouses split on potential regulation to reveal recruiting packages
A new policy simulation tool lets users design their own package of reforms to fully fund Social Security. If individual users can make these tough decisions, why can't elected officials?
Difference between claiming strategies could be worth as much as $250,000 in lifetime benefits
Has the man behind the virtual currency been revealed? Plus, other must-reads from wealth manager and CNBC commentator Josh Brown
Although it could have severe effects on the Russian ruble, experts point to buying opportunities
