Fines and disciplinary actions issued by FINRA are on track to be worse than 2011, with nearly $40 million in fines already issued in the last six months.

Experts say that FINRA's new exercise "looks an awful lot like an examination and FINRA getting ready to play 'gotcha.'"

After a computer mishap led to a $440 million loss at Knight Capital Group, the SEC is speeding efforts to require exchanges to place safeguards on their systems.

The way to prevent more Madoff-type looting is for professionals to regulate their own industry, the congressman writes.

Robert Plaze, deputy director of the SEC's Division of Investment Management, retires; John J. Cross III is the director of the new Office of Municipal Securities.

The CFP designation provieds a higher level of client satisfaction and boosts revenues, as well - according to research from the CFP Board.

Market conditions are challenging advisors to find income and manage volatility, though they're confident in long-term growth, says a Natixis study.

Woodbury will join an AIG-owned umbrella group that includes FSC Securities, Royal Alliance and SagePoint Financial.