Person Root Tag

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

As Bob Dylan once sang, “the times they are a-changin.”

Allen Parker led Wells Fargo during its six-month search for a new chief executive officer.

The hiring marks Charlie Scharf’s first major leadership appointment since he took over the embattled bank last month.

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

CEO Dan Arnold described the firm's multipronged strategy for further growth.

The firm’s shares presumably trailed rivals for a reason — did anything from the third quarter drastically change those views?

Advisors are not "non-for-profits,” CEO James Gorman said.

“We need someone with a deep understanding of BlackRock, our business and, above all, our culture,” CEO Larry Fink wrote in a memo.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

The firm has argued that a demand for emails and other records by the agency earlier this year was unduly burdensome.

The No. 1 IBD’s Focus conference drew 4,000 advisors, but it faces friction ahead in its ongoing expansion.

The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.

Roughly 45% of Berkshire’s stock portfolio is allocated to the financial sector, and eight of the portfolio’s top 12 holdings are financial stocks — a deeply contrarian bet.

Clients are advised to consider delaying their Social Security benefits, as up to 85% will be subject to income taxes, an expert says.

The Massachusetts senator asked Richard Fairbank in a letter why the bank didn’t detect the breach for nearly four months and how it plans to prevent future cyber intrusions.