Slashing fees is only the start to keep self-directed investors, FiNet advisors join Raymond James and diamond earrings sell for a record at auction.

The regulator wants to more proactively engage with people in the industry developing or using new financial technologies, FINRA President and CEO Robert W. Cook announced at its annual conference in Washington, D.C.

Pet visitation therapy provided to hospital patients and the elderly constitutes an exempt organization’s charitable purpose.

The SEC suggests keeping your guard up against fake news seen in social media, investment newsletters, online ads, email, Internet chatrooms, direct mail, newspapers, magazines, TV and radio.

Darren McFadden claims Ameriprise didn't notify him of broker misconduct, State Street and TruValue labs announce ESG partnership and Baird opens a new Chicago-area office.

Advisors charge fees that are opaque or hidden, depriving investors of information needed to avoid excessive costs.

Trump may talk big about breaking up the banks, but his actions -- appointing friendly regulators -- proves otherwise.

FINRA seeks comments on rules about outside business, Richard Grobman joins Raymond James in Philadelphia and MassMutual updates its brand.

Advisors are focused on generating income for their clients, Wealthsimple raises more money from Power Financial and First Hawaiian Bank teams up with Raymond James

In addition to easing up on luring older, established brokers via signing bonuses, the firm is attempting to enhance in-house training programs to bring in younger talent from outside the industry.