Regulators warn about cryptocurrencies, wealthy families struggle with family and Qualified Plan Advisors acquires the retirement practice of Ascende Wealth Advisers.

The New York Department of Financial Services is looking to do what the Trump administration has put on hold.

FINRA says the firm’s system for flagging emails for review was not adequately designed to detect misconduct by firm personnel.

Advisors reveal their new year’s resolutions, website ranks firm by advisor misconduct and Woodbury Financial adds three firms.

As FINRA considers whether non-attorneys should continue to represent investors in arbitration, a new PIABA report spotlights a disturbing pattern of problems with some of those representatives.

Despite the delay, the Department of Labor's fiduciary rule is and has been in effect since June.

How RIAs should handle the SEC’s unannounced examinations.

The last-minute attempt to stall the project comes amid heightened concerns about cybersecurity.

Investors should avoid knee-jerk changes to their portfolios post-election, predictions for the CRE market, and Securities America teams with Jefferson National for DOL compliance.

The rule, if approved by OMB, would delay the Jan. 1 applicability date of the fiduciary rule until July 1, 2019.