New book teaches consumers how to select the right adviser.
SEC enforcement targets provide good examples of what to avoid in annual updates.
Advisers should take a deliberate approach to charting their future. Here's what to look for.
Online investment platforms, which for the most part offer passive investment portfolios, say their clients can handle market volatility in 2016.
Some highs and lows, swings and misses
Understanding how you work with your technology today will ensure you understand the impact of the changes you are planning.
Commonwealth Financial Network managing principal John Rooney says a combination of higher costs and less revenue, thanks to the DOL fiduciary rule, will cause widespread consolidation of independent broker-dealers.
Plus: You ain't seen lame until you've seen Congress next year, money manager M&A peaks, avoiding financial fraud, and how the rich get and stay rich
Regulator focuses on potential violations regarding misrepresentations, suitability, and supervision
Broker-dealer agrees to a $1.4 million fine and will return investor money on approximately 2,000 sales of nontraded REITs. Firm also settles with states regarding leveraged ETFs.
Few have planned for such care, but 70% of 65-year-olds will require it in their future.
Single female homebuyers are poised to make a comeback, particularly in cities where their salaries are rising faster than those of single men.
Advisers were pleasantly surprised by the tax package that will provide them more certainty when planing long-term for clients.
Fund industry worries about fallout from results of SEC exam sweep on distribution fees.
Robert W. Cook, the former director of the division of trading and markets for the SEC from 2010 to 2013, will take over the reins of the brokerage industry regulator.
More than half of Americans are still at risk of being unprepared to completely cover essential living expenses in retirement.
RCS Capital Corp. is still evaluating Docupace, the SEC- and Finra- compliant paperless processing system used by its retail broker-dealer network, as RCAP prepares to file for bankruptcy.
Galen Marsh, who allegedly called the stolen data “the world's best cold-calling list,” had some of the data stolen from him and posted on the Internet.
New bipartisan legislation would quash a Labor Department proposal to strengthen investment advice standards for retirement accounts.
Black Friday sales come early for buyers of independent broker-dealers as a slew of available firms puts pressure on prices.
