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“The reality is, in Washington, you have this massive amount of unpredictability,” a portfolio manager says.

The No. 1 IBD’s advisory AUM flows show results from the company’s efforts to reward advisors for choosing its custody instead of outside firms.

These insiders are well placed to propel their firms forward and encourage colleagues to address the industry’s shortcomings.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

The $7.5 billion fund’s comeback comes as the spread between 3- and 5-year yields slid below zero for the first time since 2007.

In the Treasury market, all eyes remain on the yield curve after three-year yields climbed above those of the five-year bonds.

Fed Chairman Jerome Powell's dovish comments revived global demand for riskier assets.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

The board is calling for public comment on a variety of changes and released FAQs for planners about new standards of conduct taking effect next year.

Like everything else on Wall Street, this dispute is about the bottom line.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The presumptive chair of the House Financial Services Committee will likely take the panel in a sharply new direction and have a new bully pulpit to criticize the Trump administration.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Several Senate, House and gubernatorial battles are of interest to financial firms. Here is a spotlight on specific contests, with updates as they become available.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

The securities and investment industries have switched parties when it comes to spending ahead of the Nov. 6 midterm elections.