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.

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.