Copyright Win McNamee, Getty Images A poll conducted by the Wall Street Journal’s Risk and Compliance Bureau found that Securities and Exchange Commission Chair Mary Jo White was the most feared regulator of 2014, just beating out Benjamin L...

Brokers have long been able to continue selling insurance after being barred or suspended from the securities industry—at least until insurance regulators got wind of it. But it looks as though they may get wind of it even sooner. The Financial I...

Trustees now have until June 30, 2015

Nicholas Schorsch, who has built up one of the largest independent broker/dealer networks over the past year and a half, has stepped down from his role as executive chairman of RCS Capital (RCAP). Mark Auerbach, RCAP’s lead independent...

Corralling clients to do what you want - and what's in their best interest - is easier said than done. That's why financial advisors need to act as behavioral coaches with investors to get them through some of those tough times. Vanguard Investme...

The XY Planning Network, a virtual community for young financial advisors, announced a host of new compliance services and resources that it hopes will help the next generation of advisors open their own firms...