What increased regulation is coming down the pike for investment advisors? Securities and Exchange Commission Chairman Mary Schapiro has been dropping hints at various forums, and other experts are ...

A tip, a complaint, a news article, high fees or firm leadership changes. These are among the things that can to a registered investment advisor firm being targeted for one of the 2,250 exams the SEC ...

Financial advisor candidates will need to pay more to take securities licensing exams beginning in June, the North American Securities Administrators Association announced. After four years of ...

The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest. By Mark Schoeff Jr. Now that investment advisors have the ...

Many financial planners have an interest in becoming a Chartered Financial Analyst (CFA). But while some understand what they are getting into when they decide to take the exam — the cost, the time it ...

Municipal advisors’ passing scores on a principal pilot exam were “far greater” than on past pilots, just as MAs are about to officially take the exams this fall. Processing Content MAs will begin ...