News Feed

Which broker-dealers have the best fee-based mix? The results were surprising and highlight a different group of firms.

Large banks grab headlines with big pledges to small business, but community banks are the ones making hefty commitments compared to their size.

The Securities and Exchange Commission last week unveiled its money market fund proposals that, in part, seem to have won the support of its biggest critic: the Investment Company Institute.

The Securities and Exchange Commission has improved how it justifies new regulations after at least five recent court defeats faulted its use of economic analysis, according to an audit by the agency’s inspector general.

The Securities and Exchange Commission has paid $580,000 to settle claims by a former internal watchdog that he was fired in an effort to quash his investigations.

Shares of discount brokers are gaining the most since 2003 compared with the Standard & Poor’s 500 Index, a sign that small investors are joining the four-year bull market even after U.S. stocks suffered their biggest losses in six months.

From not giving up your audit too soon to wise words from Pershing's Mark Tibergien on creating a human capital strategy, here are some of the smartest things we learned at this year's INSITE conference.

For the second consecutive week, equity exchange-traded funds experienced net outflows, handing back some $2.8 billion, while conventional mutual fund took in $500 million.

Investors pulled more money from municipal bond mutual funds than they have all year as funds that report flows weekly recorded outflows of $1.47 billion for the week ending June 5.

Like star athletes, advisors can experience “imposter fear” – worrying that their success is owed to luck and somehow they’ve fooled others into believing they are skilled professionals. Jack Singer, an advisor coach and sports psychologist, offers insights on how advisors can overcome this fear.