Portfolio

The U.S. Commodity Futures Trading Commission, seeking to bolster global oversight of derivatives trading, released determinations for when overseas rules are sufficiently robust to take precedence over Dodd-Frank Act measures on trades in foreign jurisdictions.

Archer-Daniels-Midland Co. agreed to pay about $54.3 million to U.S. regulators and the Justice Department to resolve allegations it bribed officials in Ukraine to win tax refunds.

Gerber Kawasaki wants its 2,700 clients - and every prospect - to communicate with one another.

How do you want to improve your practice in the new year? Financial advisors (and the consultants who work with them) voice the top resolutions for 2014.

In her final column for American Banker, Editor-at-Large Barbara Rehm says there is no denying the system is safer than it was in 2007, and while further changes may be needed, it makes sense to "take a breather."

The U.S. economy expanded in the third quarter at a faster rate than previously estimated as consumers stepped up spending on services such as health care and companies invested more in software.

Lawmakers this week called on FINRA to explain its policies for expunging investor complaints about brokers from the public record, suggesting that the industry regulator should revisit the extent to which information is removed from the BrokerCheck database.

Ex-Morgan Stanley Fund Manager Must Pay Back $31 Million

Deutsche Bank Forfeits 221 Million Euros From Monte Paschi Deal

The portfolio management tool has been a key selling point as the rapidly growing tax-focused independent broker-dealer continues to attract tax specialists to its network of nearly 5,000 advisors.