Those who provide local governments with advice on derivatives won't have to register.
Stifel, subsidiary broker-dealer agree to pay fines and restitution for sales of nontraditional funds.
Laurie C. Kamhi is breaking away from Merrill Lynch Wealth Management's Private Banking and Investment Group, where she managed $320 million for well-heeled clients and institutions.
Despite growing economic concern, there is no shortage of reasons for optimism
Giving investors and advisers to 'make a trade-off between the lower-cost option or the opportunity' from actively managed portfolios.
Bloomberg columnist William D. Cohan on the saga of Jill Wile, a former manager in the southeast regional office of the Financial Industry Regulatory Authority Inc.
If approved, the rule would require brokers who receive more than $100,000 in incentive compensation to notify clients in writing; some say it could chill recruitment.
<i>Breakfast with Benjamin:</i> How investors are playing the markets. Plus: Kitces on the fee vs. commission problem; solving mysteries and who Facebook is leaving in the dust.
IBDs and wirehouses split on potential regulation to reveal recruiting packages
A new policy simulation tool lets users design their own package of reforms to fully fund Social Security. If individual users can make these tough decisions, why can't elected officials?
Difference between claiming strategies could be worth as much as $250,000 in lifetime benefits
Although it could have severe effects on the Russian ruble, experts point to buying opportunities
Has the man behind the virtual currency been revealed? Plus, other must-reads from wealth manager and CNBC commentator Josh Brown
SEC would get funding boost; limits placed on retirement-savings tax breaks for wealthy.
Dave Camp, the Republican House Ways and Means Committee chairman, is filling in the blanks in his plan to revamp the U.S. tax code and leaning on the financial industry to help pay for lower tax rates.
A Senate committee report will reprimand Credit Suisse Group AG for helping American clients dodge taxes and will criticize the Justice Department for not pursuing offshore banks aggressively enough, according to two people with knowledge of the findings.
New retirees are scrambling to get by in one of the least retirement-friendly countries in the developed world.
The firm strikes a $196 million settlement with the SEC over charges it provided cross-border advisory, brokerage services for 8,500 U.S. clients. A Justice Department investigation is pending.
