Organization Root Tag

The wirehouse failed to properly supervise more than $33 billion worth of UIT transactions, according to FINRA.

The rep purportedly received an email from the impostor requesting that she sell securities to fund the wire request to a third-party in the United Kingdom.

The company is evaluating ways to package both its quantitative and active strategies into the funds, according to a person familiar with the matter.

The case marks the second one this month involving the newly acquired IBD.

New FINRA guidelines lay out the consequences.

Less than $5 million in gross receipts during a five-year period and qualified R&D expenses are required.

Newer hybrid products are popular, but they can be expensive.

The holdings in each of the three new offerings are rated A to BBB.

Data reported by the Investment Company Institute.

Sept. 25: Changes the DoL regulation has inspired — particularly in the mutual fund industry — are moving ahead, albeit slowly.

The U.S. Private Equity Access Fund Platform includes 33 offerings and more than 7,000 domestic and international investors.

Equifax's data breach may be the most serious, given that it covered 143 million consumers and involved reams of confidential information, but it wasn't the largest. Following are the biggest to date.

Getting to know clients’ children will help advisors hone their services and keep their businesses thriving while retirement withdrawals chip away at AUM.

The practice left its BD less than a year after John Hancock acquired Transamerica Financial Advisors.

The husband-and-wife team say their new employer reminded them of their first firm, Smith Barney.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

The broker declined to appear for on-the-record testimony regarding expense reimbursements that SunTrust alleged were not valid expenses, according to FINRA.

Derek Burke discussed the Advisor Group firm’s upcoming digital offering and his top priorities.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

Managers in the space have been raising cash at their fastest pace since 2013.