Michelle Rudd will join the firm from Wells Fargo, where she managed $500 million in client assets.

Patrick Foy and Chris Willis will join LPL Financial from Raymond James Financial Services, citing the firm's platform and resources that can help streamline client services.

The story of how advisors rode out the cultural and economic trends of the past can provide insight into how today’s advisors can best face their future.

In response to requests from the FPA and others, the CFP Board will push back the compliance date for its new Code of Ethics and Standards of Conduct to June 30, 2020, which coincides with the SEC's Reg BI.

Not only was Henry J. Wieniewitz not registered, he made millions selling securities from Woodbridge Group and 1 Global, which the SEC claims are fraudulent.

The San Francisco-based brokerage firm is in talks to buy USAA’s brokerage and wealth-management operations for roughly $2 billion.

Testing for cybersecurity also increased this year, with advertising and privacy also considered important compliance topics, according to the survey from the Investment Adviser Association and ACA Compliance Group.

The private equity firm has hired Raymond James to advise, according to published reports.