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.

Of the 126 charges litigated by the SEC and FINRA, B/Ds and advisors got about 1 in 8 of the claims dismissed through lawsuits.

The "rich and powerful" may have as much as $32 trillion hidden in offshore tax havens, but one tax attorney says there is nothing inherently wrong with that.

New products unveiled in the last week include a short-term TIPS fund from Vanguard and a managed futures fund from Longboard.

User fees provide the simplest, most efficient solution to the problem of inadequate advisor oversight, the California Democrat says.