The future is now. | Ingram Publishing/Thinkstock
Folio Institutional, a financial technology provider, published a list of top trends in 2016 that will affect the wealth management industry. The company, of course, thinks the impact techn...
With so many new business books published—over 8,000 from just the major publishers in 2015—it’s hard find the titles that will really make a difference to financial professionals. But we searched far afield to find lesser-known...
Insurance broker/dealers have the most to lose from the Department of Labor’s fiduciary rule because of their dependence on commissions, proprietary products and individual retirement accounts, according to a new report by Cerulli Associates.
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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...
“You’ve got a real way with turning a phrase, it’s like you’re a wordsmith,” a recent advisor complimented with a conspirator-like smile as she asked “Do you have any tricks up your sleeve to get people to do...
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...
