Just when it seemed Ameriprise and LPL Financial were making progress in their long-running legal spat over recruiting, a group of LPL financial advisors disrupted the peace.

Edward Jones reported solid growth in income for the first quarter of this year as its advisor ranks and client ranks grew.

The Investment Adviser Association has proposed a series of recommendations regarding the way the Securities and Exchange Commission prioritizes its work and changes its processes.

Wirehouses, independent broker-dealers and regional firms could see a shortfall of tens of billions of dollars a year under a possible new approach by the Securities and Exchange Commission to mutual ...

The Consumer Financial Protection Bureau says it plans to rescind nearly 70 policy and regulatory guidance documents dating to 2011, according to Reuters.

Raymond James is doubling down on the support it provides its advisors as it aims to bolster its position as an alternative to Wall Street banks and registered investment advisor firms alike.

Financial services industry lobbying group Finseca doesn't believe that a repeal of the estate tax, being floated yet again by Republicans and supported by more than 200 groups, is the best solution ...

Coming from Merrill Lynch, financial advisors David Towers and Jason Capron joined Wells' Private Client Group in Syracuse, New York. The team, known as the Towers Capron Group at Merrill, has $1.6 ...

This story originally ran on Financial Advisor IQ sister publication FundFire.

By Bloomberg's count, which includes its own reporting and analysis of FedScope data year-to-date, the SEC has been the least affected, shedding fewer than 300 staff this year, while the FDIC lost ...

UBS will discontinue two major pieces of its digital wealth offering in the coming months, the company said in its latest disclosure brochures filed with the Securities and Exchange Commission.

The SEC had sought $2 billion in fines and penalties, but while U.S. District Court Judge Analisa Torres ruled in the commission's favor, she only ordered Ripple to pay $125 million. Both the SEC and ...