Practice

After analyzing 13 planning tools, Boston-based Aite names the three best products.

Todd Locicero was named office manager of UBS Wealth Management Americas' Los Angeles Private Wealth Management office.

FINRA has censured and fined the New York-based brokerage firm $1 million for using an illicit high frequency trading strategy and related supervisory failures.

The Securities and Exchange Commission is likely to revise its approach to circuit breakers on the nation's equities exchanges, to include a "careful review" of price bands that limit how far up or down the price of a stock can move at any given time.

Two influential advisor trade groups-the Securities Industry and Financial Markets Association and Financial Planning Coalition, which consists of the Certified Planner Board of Standards, the Financial Planning Association and the National Association of Personal Financial Advisors-finally sent in their comment letters to the Securities and Exchange Commission regarding Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, on a blanket fiduciary standard for all financial advisers.

Kenneth I. Starr pleads guilty to three counts; 20 additional counts and SEC charges still loom.

The Securities and Exchange Commission Friday approved the expansion of its post-Flash Crash circuit breaker program to include all stocks in the Russell 1000 Index and a test group of exchange-traded funds.

Though the creation of a consumer protection bureau got much of the attention, the Dodd-Frank Act also created an Office of Financial Research with an ambitious mandate.

The Securities and Exchange Commission Friday approved the expansion of its post-Flash Crash circuit breaker program to include all stocks in the Russell 1000 Index and a test group of exchange-traded funds.

Financial adviser to the stars Kenneth I. Starr, Starr & Co. pled guilty before the U.S. District Court for the Southern District of New York Friday to ripping off $50 million from A-listers including Wesley Snipes, Sylvester Stallone, Uma Thurman, Nora Ephron and Al Pacino.