RIP. | Copyright Carl Court, Getty Images David Bowie, the British rock legend who died Monday at 69, will mostly be remembered for his influential contributions to music, fashion and film. But Bowie was also financial innovator. In 1997...

There are many firms out there helping wirehouse advisors transition to the RIA world seamlessly, but most require advisors to give up some ownership or percentage of earnings. That’s why Matt Sonnen, former executive with Focus Financial...

When it comes to training the next generation of financial advisors, recruiting is only the first step. After all, only one in five trainees successfully progress to become financial advisors, according to a report issued Wednesday by Fidelity...

A third of plan sponsors not working with an advisor say they’re likely to do so in the future, and six in 10 plan sponsors with assets between $25 to $75 million expect to hire an advisor, according to a new study by MassMutual. This...

Just throw money at it. | miriam-doerr/iStock/Thinkstock Equity crowdfunding is expected to grow in 2016, but by how much? A new report from Juniper Research expects investments in the technology sector via crowdfunding to increase sevenfo...

This year the Securities and Exchange Commission will be looking more closely at exchange traded funds and variable annuities, new areas of focus for the agency from last year...

If at first you don't succeed ... | Copyright Sean Gallup, Getty Images Edward Jones was the first firm to partner with the Securities Training Corporation to sponsor Series 7 prep courses at various universities in early 2015. But recentl...

This time is different. | Copyright Chip Somodevilla, Getty Images George Soros spoke at an Asian investment conference yesterday and told the crowd the current market meltdown reminded him of 2008, on the eve of the worst recession in dec...

The Financial Industry Regulatory Authority plans to look closely at broker/dealers’ culture this year, the regulator said in its annual enforcement and priorities letter released this week, a move that follows other regulators scrutinizing...