The Securities Industry and Financial Markets Association is standing by its opposition to the Financial Industry Regulatory Authority’s proposed Comprehensive Automated Risk Data System rule, saying at a media briefing Thursday it will use...

One of the major themes in the independent financial advisory space in recent years has been the explosive growth of the hybrid Registered Investment Advisory (RIA) firm, a model in which advisors operate their own RIA firm for fee-based business...

While you might feel you are just being diligent, your prospect may feel you are being needy.

Fidelity’s custody and clearing unit is teaming up with online advice platform LearnVest to help advisors “digitize their practices.” Advisors and their clients will have access to LearnVest's financial wellness microsite and preferred pricing ...