Practice

The SEC's Chairman declared Friday that the Wall Street firms it is supposed to watch and prevent from disrupting increasingly high-speed digitally driven markets spend far more on technology than the Securities and Exchange Commission has at its disposal for all its functions.

AXA Rosenberg said it agreed to pay $217 million to cover investor losses as well as a $25 million civil penalty, in a settlement with the Securities and Exchange Commission regarding a coding error with its risk model.

Tom Breaux and Ian James join Raymond James as financial advisors and will operate independent firm Capital Financial Group.

The Securities Industry and Financial Markets Association spells out the unintended consequences of the proposed regulation.

Why do some people excel under pressure and others don’t?

Getting to the next level is the biggest challenge for advisors. Here's a unique approach to the age-old conundrum.

One third of forty-and fifty-something women figure on withdrawing 11% to 30% each year. That’s where you come in.

The California asset manager said it agreed to pay $217 million to cover investor losses as well as a $25 million civil penalty, in a settlement with the SEC over a coding error in its risk model. The firm's chairman, Barr Rosenberg, resigned, after a probe into errors in the firm's data systems.

NYSE Euronext said that its equities trading in the U.S. and its derivatives trading worldwide were down in January, compared to a year ago. But there were bright spots, particularly compared to December.

Advisors using TD Ameritrade’s practice management program have grown their business by 19% versus those that have not have only grown 9%.