Staff continue to incorporate Reg BI compliance into the SEC's examination and enforcement processes; Commissioner Caroline Crenshaw believes this data will illuminate whether the rule is working as promised, or whether changes may be required.

Firms with similar business, client-care and investment philosophies are usually more amenable to negotiation and constructive compromise than firms with widely different views on these priorities.

In a world where bigger is considered better, many of Wall Street’s most talented and productive advisors are opting to go against the grain and leave chips on the table.

If you want widespread distribution on Facebook, you'll have to pay for it. Fortunately, it's not all that difficult nor very expensive.