An investigation by state securities regulators found the independent broker/dealer failed to prevent the sale of certain equity and fixed-income securities that may not have been properly registered in their domains.

You do the right thing for your clients when you recognize and address these difficult situations.

The DOL missed the deadline to file for a rehearing in the Fifth Circuit Court of Appeals, meaning the Court’s decision to vacate the fiduciary rule stands.

The SEC’s definition of the fiduciary “Duty of Care” makes any regulation difficult to enforce. It needs to offer a more concrete interpretation: one that focuses on the research upon which investment recommendations are based.

Your ad investment doesn’t need to rise in order to create a media mix.

Financial advisors are unprepared for digital disruption, financial literacy solutions do little to close the racial wealth gap and what to do about the shrinking number of IPOs.

The consumer group, along with the attorneys general of California, Oregon and New York, are seeking a rehearing by the Fifth Circuit, which vacated the DOL fiduciary rule.