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Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

Angela Ceresnie is CEO of Climb Credit, a innovative student lending and payments platform.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

Funds tracking telemedicine, gaming and even pet care attracted $2.5 billion in November alone, according to Bloomberg data.

The benefit is becoming more popular now that it can be offered and managed digitally.

Carrie Augustine, CPA, is senior industry principal at Oracle NetSuite.

The more out-of-left-field the change, the more profound the lesson learned, our columnist has found in the corporate and individual practice realms.

Jenn Kischell serves as vice president of Workforce Engagement, a unit within MetLife’s Financial Wellness and Engagement organization. With more than 25 years of experience, Kischell works with internal and external partners and customers to provide key enrollment communications and financial literacy. She is responsible for ensuring an understanding of the market, responding to customer demands, and supporting an infrastructure to drive successful sales and engagement with group customers and their employees.

Former CEO John Stumpf agreed to pay a $2.5 million penalty to settle civil charges tied to the bank’s fake-accounts scandal. Former community bank head Carrie Tolstedt did not agree to a settlement and is now facing a lawsuit that alleges she committed fraud.