The acquisition of American Portfolios could bolster the network's revenue and profit margins over time, according to the rating agency.
The provision was rejected as an amendment to the Senate Finance Committee's EARN Act, but it could reemerge in a final bill sent to the floor of the House and Senate.
The 'external system breach' put the Social Security numbers of 2,188 of the firm's clients at risk, according to the Maine Attorney General's office.
There are important things to consider when selecting a platform that researching online or LinkedIn won't tell you.
Workers now see maintaining their current standard of living as their top financial priority in retirement, replacing more lavish plans, according to a new study.
Part of the record penalty imposed last year on Robinhood will be used to help potential future customers protect themselves, according to Finra's annual report on fine monies.
A Finra arbitration panel rules in favor of Erin Daly, who filed a federal complaint against Citigroup alleging gender discrimination.
Relationships with clients are built on trust. Here are ways advisers can help accelerate the trust-building process.
Mikail Qazi and Timothy Martin are joining UBS Private Wealth Management in Washington, D.C.
Here are the rest of the week’s fintech stories.
Their attorney, Jeffrey Erez, said they were misled by UBS brokers who didn't understand the risky product.
Advisory firms' challenges when it comes to alts range from getting access to investments, meeting minimums, figuring out how to subscribe and the headache of performance reporting.
The new Maintaining Qualifications Program reconciles Finra licensing requirements with common career and family timelines.
As rising costs cause many to contemplate lifestyle shifts, one question that keeps popping up is whether the spending cuts should include investing for retirement.
70% of retirees would advise saving or investing more or earlier, according to a new EBRI study.
The regulator sanctioned the broker-dealer for violations related to its marketing of securities it had underwritten and failings related to sales of GPB private placements.
The bank joins a long list of financial backers funding the $130 billion tech-savvy platform for investing in alternatives.
SEC Chair Gary Gensler has raised concerns with how features closely associated with the mobile phone apps offered by brokers can impact trading.
A projected 20% benefit cut in 2035 could significantly reduce lifetime income for younger workers, according to a new paper from HealthView Services.
The bill would raise the RMD age from 72 to 75, increase catch-up contributions and allow retirement plan matches for student loan payments. It will be combined with another recently advanced Senate measure.
