Regulation

Bond dealers are standardizing methods for analyzing fixed-income exchange-traded funds as they seek to boost trading.

The firm pursued the advisor for a bonus clawback while the advisor in turn sought damages for alleged discrimination and breach of good faith.

Comparing its authority to that of sororities, country clubs and other trade organizations, the CFP Board convinced a federal judge to throw out planners' fee only lawsuit.

Why timing is important for clients filing for Social Security; Plus, how to decide whether your client should invest in a 401(k) or a Roth IRA.

Asset management industry critics of the Department of Labor's fiduciary initiative issued a torrent of comments blasting the proposed regulation as costly, unworkable and harmful to low- and middle-income investors.

A New York-based hedge fund manager traveled to Tehran to do scouting work. During a 10-day trip, he liked much of what he saw.

Advisors' use of social media is on the rise. Here's how you can be both social and compliant.

For the third time in the past year, the wirehouse discharged a long-time advisor with a big book of business, this time alleging "inappropriate workplace behavior."

The firm reported solid growth and record advisor productivity in its wealth management business.

Though the industry reaped 34% profit margins and global AUM rose 10.5% to $67 trillion in 2014, revenues rose only 6.3% to $319 billion, while fees dropped an average 40 basis points.