Bank of America's Global Wealth and Investment Management division — and specifically the Merrill Lynch brokerage operation — continue to benefit from improving markets.
Social media may be all the rage, but it's also a major headache for compliance managers. New software may help ease the pain.
Axa Equitable Life Insurance Co. has paired up with Wilshire Associates Inc. to give small and midsize retirement plans access to fiduciary services.
Finra claims Pinnacle Partners is continuing to mislead potential investors about oil and gas private placements – even though the firm has already been hit with a cease-and-desist order. The firm's boss, however, denies all charges lodged by the industry regulator.
The U.S. Securities and Exchange Commission has named Julius Leiman-Carbia as an associate director to lead the agency's national broker-dealer examination program.
Independent financial advisers slam his economic policies; Reagan still the man
Greater certainty around taxes spurs increased donations to donor-advised funds
Agency extends due date for Form 8939;' good news' for those struggling with cost basis of property
Despite claims of GOP lawmakers, FPC says issue of single standard of care has been thoroughly studied
SEC nixes April-June target to gather more industry feedback
Johannessen says proposed 39.6% top marginal rate spooking more-affluent filers
Putnam Investments has released a series of three new retirement income funds and paired it with a planning tool for financial advisers.
As consumers manage more of their lives via smartphones and iPads, financial service companies are trying to ensure they don't get lost in the electronic shuffle.
No hard sell on site, and the price is right
The Federal Energy Regulatory Commission issued a $30 million fine against former Amaranth Advisors LLC energy trader Brian Hunter, who is accused of manipulating the natural-gas futures market in 2006.
Massachusetts plans to regulate expert-network firms, the first state in the U.S. to set rules for an industry that was caught up in the federal government's insider-trading investigation.
Warren slams attempts to weaken authority of new bureau; Wall Street 'behemoths' the real problem
