Person Root Tag

Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.

Ross Gerber says he left the firm to avoid its strict oversight of his press interviews and social media.

With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.

The deal is only the first step in a major growth plan, according to the acquiring firm’s founder.

When 2018 taxes are due in April 2019, millions of Americans could find themselves owing the government far more than was withheld.

At least three dual practices with nearly $1.5 billion in client assets have left since the No. 1 IBD unveiled the new guidelines.

One fund’s strategy this week amounted to almost 48% of its average daily turnover during the past 90 days.

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.

The Senator wants to know what the SEC is doing to prevent harassment at banks.

Following criticism for its faulty 2016 election algorithms, the firm appointed a new research director to collaborate with its quants and money managers.

After acquiring four firms’ assets, the industry giant still faces big challenges ahead.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Offering specialized planning is now essential to attract and retain HNW clients.

Funds managed by Marco “Mick” Hellman sold most of their holdings, while CEO Dan Arnold received options worth $5 million.

"I think it's something that the market needs. I think it's something that regulators need," Jay Clayton says.

Anticipating volatility and its implications could make a big difference.

The president reportedly feels strongly that state and local taxes should be applied to online purchases.

Battles will ensue over the Trump tax plan’s treatment of payments to former spouses.

The proposed budget includes a provision that would give Medicare recipients the option to contribute to a health savings account, which would offer various tax benefits.

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.