Person Root Tag

The impact of technology on client-facing jobs has been grossly overstated. Their threat to the back office, however, is very real.

The funds, which account for roughly 1% of the $3.5 trillion of assets in ETPs, “pose real risks to American families.”

“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.

Similarly fed-up with dismissive treatment of women, readers weigh in on what’s the best way to tackle sexist behavior.

The framework targets so-called plain vanilla funds, yet leaves in place a more laborious path for firms wishing to list complex products.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.

Salary-reduction arrangements can exclude up to $520 each month from a client’s taxable income to cover these expenses.

The No. 1 IBD’s top recruiting executive announced his retirement after the firm disclosed some mixed recent results.

The largest allocation to the iShares fund was a block of 10 million shares worth $251 million after the market closed last week.

The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.