After turning attention toward next-gen platforms and client experience, broker-dealers may have to rethink technology to comply with a best interest standard.
Wealth managers focus their expansion on clients with fast-growing fortunes.
Despite an agency directive to eliminate the word 'fiduciary' in Form CRS, SEC officials say it's OK to use it.
The broker-dealer was censured and fined $40,000 for the infractions.
Are the lines between cash, lending and investing starting to blur?
Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.
The new standard is more stringent than the current one, laying out explicit steps that brokers must take when considering a retirement rollover.
Compliance requirements in the regulatory package affect both brokers and investment advisers.
No. 1 priority is tech that will help them serve more clients.
Massachusetts securities cop sees uptick in marijuana-related fraud cases.
Portion of settlements with financial perpetrators would supply the pool.
Clients may be willing to pay more money for certain services as long as they're positioned correctly.
The move can boost future benefits — but beware of unintended consequences.
Agency seeks comment on easing limits on eligibility, investment amounts.
American Depository Receipts at the center of charges that Wedbush failed to supervise staff.
Getting rid of the paper involved in using the Automated Customer Account Transfer Service will also speed the process, robo says.
Reducing transparency around corporate debt transactions could raise risks for ETF traders and boost costs for investors.
The payout ranks among the middle tier of settlements reached by other asset managers in similar lawsuits.
Researchers suggest the funds don't adequately hedge against sequence-of-returns risk in retirement.
Broker Patrick Foley failed to show up last month for testimony before Finra.
