In February, 44% of candidates passed the Level II exam, down from 46% in November and up from 29% in August, according to the CFA Institute.

Customers placed 6.58 million daily average trades in the first quarter, a decline of 22% from the year-ago period.

German Nino pleaded guilty to wire fraud in Florida federal court for stealing more than $5 million from clients and spending it on 'romantic partners,' according to the DOJ.

It’s going to take disruptors, not politicians and regulators, to develop creative solutions.

Valuations for RIA firms are flattening, but the war for talent is on the rise, say two of the largest RIAs in a virtual discussion with consultant Advisor Growth Strategies.

The study found substantial shifts in the rankings, and digital is starting to pay off for some firms.

The commission's FAQ from March 30 said firms should avoid 'embellishing factual statements,' but the Institute for the Fiduciary Standard argues it leaves advisors unable to accurately describe themselves as fiduciaries.

The state became the 22nd to adopt a rule based on the NAIC’s model, joining the likes of South Dakota, New Mexico and Pennsylvania.

Clients in Invest for AmEx by Vanguard can schedule one financial-planning phone call in their first year of enrollment, and those with at least $100,000 in advised assets get unlimited access to Vanguard advisory services.

Trade groups like American Bankers Association and SIFMA want more opportunity to respond to proposals.