With so many options to choose from, how does an advisor decide which path to independence to take?

The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo, several months after the regulator commissioned a study to examine the case.

The New York State Department of Financial Services alleges Robinhood lacked sufficient staff and resources to ensure compliance with the Bank Secrecy Act and anti-money-laundering rules. 

Empty certifications that require no experience and limited interaction only add to plan sponsors’ mistrust of the industry.

The SEC's settlement with Aegis Capital Corporation included a $2.3 million civil penalty; Commissioner Hester Peirce said the deal may lead to firms not giving clients the investment option at all even when it would be useful for them.

Firms that don’t embrace technological solutions to track, analyze and assess risk across asset classes and geographies will be hard-pressed to stay relevant.