Republicans on the House Financial Services Committee questioned the SEC leader about the roughly 50 rules the agency has proposed over the past two years.
The agreement between Advisor Group and CAIS on sales of alternative investments, and the revenue such sales would generate, is the crux of the matter.
As the environmental, social and governance space evolves, we're learning that the value from an investment perspective is not always best, even if it's always good.
The bank attracted wealthy clients with loans that have become a costly hurdle to finding a rescuer.
Most advisors are avoiding recommending cryptocurrencies to their clients, a CoreData Research survey found.
Inflation-linked I bonds have soared in popularity over the past two years, but now the yield is set to slump from the historic 9.62% rate the bonds offered just a few months ago.
The governor signed an executive order this week that entails only limited practical restrictions on state assets but could have a chilling effect.
JPMorgan, Bank of America, Citigroup are listed as falling short in an analysis by Ceres and the Transition Pathways Initiative.
As some of the worst performers of 2022 rebound in the first quarter, the outlook for the financial markets looks rosy.
As the firm announces a settlement of suits brought by Preston Hollow Community Capital, Nuveen announced that John Miller is retiring and will be replaced by Daniel Close.
Finra arbitrators order the firm and a broker to pay about $500,000 to a former McDonald's franchise owner after an options trading snafu.
Advisors evaluating alts for their clients should focus on what clients want to achieve as part of a well-diversified portfolio and understand their clients' cash flow requirements.
Fiduciaries are citing the high costs of legislation restricting the use of ESG, and some state leaders are listening.
MSCI announced an adjustment that will lower its ESG scores on about 31,000 funds.
A big client moved $2 billion from a different Xtrackers ESG exchange-traded fund to the new fund, the Xtrackers MSCI USA Climate Action Equity ETF.
The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.
Four months after exiting the Net Zero Asset Managers initiative, Vanguard is being depicted as a company doing nothing about climate change.
The two funds would both track the returns of the iShares Core S&P 500 ETF, using options to try to reduce potential fluctuations in investors' returns.
Zineb Bennani has worked for parent firm Natixis since 2005.
Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.
