The department said it would not bring claims against advisors or firms who fail to comply with the private-right-of-action portion of the best-interest contract exemption of the fiduciary rule.

Harvey aftermath affecting the securities industry, the newest gold ETF has a low expense ratio, and Market Sensei claims to predict stock performance.

Phil Shaffer's new firm, Halite Partners, will serve institutions and ultra-high-net-worth individuals.

Here, we list some major firms and their efforts to help soften Harvey's devastating blow.

Merrill team leaves for LPL's hybrid platform, plan-sponsor support for advisors lagging, and Raymond James gains Chicago advisors.

The network of fee-based financial planners is growing in members and assets, and attracting more attention from the industry.

If your firm missed Monday's deadline for New York's new cybersecurity regulations, you still have time to get your act together.

Since Lori Hardwick resigned in February, the firm's executive committee has been sharing the chief operating officer responsibilities.