Person Root Tag

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

By requiring brokers to look out for clients’ best interests, the SEC is effectively requiring them to give financial advice, which distinguishes them from online brokers and should let them keep charging clients premium fees.

It appears the regulator bought into the investor choice argument of sales reps right from the beginning.

New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

The Massachusetts senator is struggling to get data that shows how bad sexual harassment might be on Wall Street.

The commission's approach stands a good chance of superseding the Labor Department's fiduciary rule.

Despite an impressive performance, Morgan Stanley's CEO is not preparing to raise profitability targets.

At some point, stock price gyrations became synonymous with bad performance. Actually, it’s "only a reflection of volatile movements in the market.”

Assets topped $6 trillion as investors continue to move money into passively managed funds.

A spike in volatility and changes in U.S. tax law are some of the reasons why the firm says clients have moved their money in the quarter.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

Bill Hamm’s Independent Financial Partners has grown more than fivefold in 10 years with the No. 1 IBD.

“It’s bad when this happens on a Friday, because then people get freaked out over the weekend.”

The $5.7 billion fund slumped 2.6% in premarket trading after finding itself in the crosshairs of tit-for-tat tariffs between the U.S. and China.

Dan Arnold received a 155% raise in his first year atop the nation’s largest independent broker-dealer.

S&P 500 enjoys its biggest one-day jump since August 2015.

The technology is there, efficiencies are multiplying and the incentives are huge. So, why is the general mood so grim?

Stocks plummet the most in six weeks as investors shift focus from Fed to China.