Mario Tama/Getty Images There’s been a great deal of excitement in the past year over the legalization of same-sex marriage nationwide. But there are still a number of places where same-sex couples are barred from marrying without the invo...

While FINRA considers revamps to its Series 7 exam, some say the tests are outdated barometers of competency in an industry that has changed.

The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s plan to reduce the previously established 15-day waiting period to publish details of advisor terminations and investigations on...

Should an advisor continue to serve clients while running an OSJ, or choose a path? Our panel of experts weighs in.