Commissioner says the agency's recent actions targeting chief compliance officers sends 'troubling message' that leaves them unsure of the extent of their responsibility, especially CCOs at small firms.
Smart advisers will seize the opportunity to cut ties with routine, cater to a new audience and build younger, more sustainable books of business.
Veterans bestow on others the financial lessons they've received during their time in the military.
Jim Murray opens GuideStar Private Wealth Management and feels 'an immediate attitude shift, and that excitement is back and percolating every day.'
Kazuo Inamori, a Japanese entrepreneur who founded two multi-billion dollar companies, is known for his management philosophy.
SEC chief says “if at the end of the day, you are depriving retail investors of reliable, reasonably priced advice, you will not have succeeded."
The disparity seems to get worse the fancier your degree is, according to a new report.
Latest letter threatens to slow the rule-making process while time runs down on the current administration.
$909 million raised is almost as much as the $1.04 billion the firm raised all of last year.
You're doing amazing work, but you're so busy doing the work that you don't always have time to let anyone know what you're doing
Professionals split on whether this event warrants client communiqués.
<i>Breakfast with Benjamin</i>: Susan Elizabeth Walker was sentenced to more than seven years in prison for taking over $1 million from clients' accounts.
Measure that would force DOL to halt its efforts until the SEC acts would move to the Senate next, but Obama threatens a veto.
Three quotes that have impacted the United Capital CEO and are particularly useful in regard to financial choices we all make.
It's the adviser's job to make sure they do expect clients to live long &mdash; and plan for it
The regulator releases its priorities for the new year. Topping the list are firms' compliance culture and conflicts of interest.
<i>Breakfast with Benjamin</i>: The specific things to watch for in today's jobs report that could influence the Fed's decision on interest rates.
Brian Kovack wants to make the organization more effective without antagonizing firms that are doing the right thing
In the midst of one of the most disruptive periods in the history of the industry, embracing change is key
Chairwoman White testifies before Congress about next steps and factors to gauge investor sophistication.
