The U.S. Securities and Exchange Commission had an "unprecedented year" in enforcement actions, both in the number of cases and subject matter, Chair Mary Jo White said Friday...

No answer. Clients would have to be crazy not to work with a CFP professional, right? Even the most extreme daredevils wouldn’t trust a non-CFP. At least that’s the message of a new advertising campaign by the CFP Board. The organization’s n...

NBA Hall of Famer Charles Barkley revealed on CNBC’s Closing Bell program last week that he invests with Raymond James Financial Services. Barkley says he works with Birmingham, Ala.-based advisor Glenn Guthrie. “I’ve been with him for 27 years...

Consumer groups meet to organize support for the Department of Labor's fiduciary rule ahead of expected review.

It looks like a wirehouse, it acts like a wirehouse, but it's not a wirehouse. | Robert Churchill/iStock/Thinkstock Sure, the number of financial advisors is on the decline. But according to The Economist, it's the brokerages, rebranded as w...

We were all saddened to learn of the death of our friend and colleague, Douglas Moore, on Feb. 11, 2015...

Who's calling the Series 65 easy? | nPine/Thinkstock Colorado-based financial planner James Osborne of Bason Asset Management suggests it is too easy to become an affiliate of a Registered Investment Advisor. That’s the downside of the shift...

Wirehouses still dominate the advisory market, but registered investment advisors and dually registered channels are gaining ground. According to estimates from Cerulli Associates, RIAs will increase marketshare to 28 percent by 2018 after having...

If the financial advisors want to tap into a largely underserved market with nearly $5 trillion in investable assets, they need to rethink the way they interact with female clients, says Sallie Krawcheck. The former president of Bank of Americas’...

Raymond James changed policy and told its advisors Monday that the firm, not the advisor, would pay all of the rebates due to clients who were wrongly sold more expensive classes of mutual funds over the past five years. The change comes just a ...