The much anticipated "Star Wars: The Force Awakens" movie hits U.S. theaters on Thursday and many advisors say they’re fans of the franchise. In fact, advisors claiming to be "Star Wars" aficionados outnumber those who prefer "Star Trek" 3 to 1...

Advisors’ gross production varied widely by firm in this year’s survey results, with Morgan Stanley advisors reportedly taking the crown by a wide margin. But while advisors across all firms reported increasing their gross payout by 12 percent ov...

While FINRA considers revamps to its Series 7 exam, some say the tests are outdated barometers of competency in an industry that has changed.

A majority of advisors say Wells Fargo’s cross-selling policies do not hurt their business, but is that set to change as regulators ramp up their scrutiny? The Wall Street Journal reported the Office of the Comptroller of the Currency and the ...

The regulator is currently reviewing comments and plans to roll out the general knowledge exam in the fourth quarter of 2016

The U.S. House of Representatives passed legislation aimed at delaying the Department of Labor’s fiduciary rulemaking on Tuesday night...

More brokerage firms sanctioned as mutual fund overcharges prove to be a widespread problem

Digital investment advisors, the so-called “robo-advisors,” were built to be low cost and highly scalable to attract millennial investors and disrupt the financial services industry. But their survival as standalone companies depends...