The total number of Financial Industry Regulatory Authority member retail brokerages has been on the decline for the last five years...

PMorgan Chase will pay $307 million to settle two U.S. government cases that charged the bank with failing to disclose certain conflicts of interest to some of its wealth management clients, U.S. regulators said on Friday...

House lawmakers introduced legislation on Friday that would block the Department of Labor's fiduciary proposal from going into effect if not approved by Congress and set up an alternate best interest standard for advisors...

More than a year after a Wisconsin woman was sentenced to 15 years in jail for posing as a financial advisor with Fidelity, the Financial Industry Regulatory Authority levied a $1 million penalty against the brokerage for missing numerous red...

The much anticipated "Star Wars: The Force Awakens" movie hits U.S. theaters on Thursday and many advisors say they’re fans of the franchise. In fact, advisors claiming to be "Star Wars" aficionados outnumber those who prefer "Star Trek" 3 to 1...

The Financial Industry Regulatory Authority submitted a proposed rule to the U.S. Securities and Exchange Commission late Wednesday night that would require broker/dealers to provide educational information to customers they’re seeking...

The Federal Reserve hiked interest rates for the first time in nearly a decade on Wednesday, signaling faith that the U.S. economy had largely overcome the wounds of the 2007-2009 financial crisis...

The CFP Board announced Wednesday it will review and revise its standards of professional conduct that regulate advisor certification...

A rider that would have blocked funding to the Department of Labor’s fiduciary proposal has been cut from the final version of the year-end omnibus spending bill...