Regulation

The Federal Reserve’s first interest-rate increase in almost a decade can’t come soon enough for ETF providers such as WisdomTree Investments.

Paul Reilly says there is little question the law will pass, but he hopes the restrictions are more workable and the rules more clear on what financial products are restricted.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including where the buck stops when a sales assistant makes a cybersecurity mistake.

The now-independent advisor sought damages against his former employer for wrongful termination and defamation, and also asked his record to be expunged.

Angry customers have filed hundreds of arbitration claims with FINRA, seeking more than $1.1 billion in damages from UBS after huge losses in the tax-free bond funds. Three of UBS Puerto Rico's five offices have closed since 2010, and nearly 60 of the unit's 140 financial advisors have left.

Commission marks 75th anniversary of Investment Advisers Act, but says there is much work still to do to fully protect investors.

Lee Dana Weiss and his firm Family Endowment Partners face numerous cases from clients as well.

The IMF warns a flood of easy money from the world’s central banks may be masking the risk that bond markets may be starved for liquidity when interest rates increase to normal levels.

Advisors’ usage of social media includes platforms like Pinterest, where they showcase lifestyle-oriented content to their clients and potential clients.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.