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The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Focus turns to the SEC as it considers creating its own higher standard of client care.

Retirement investors who want to buy bitcoins in a self-directed IRA should ensure they are in control of their own private key.

The broker-dealer has been scooping up talent from its rivals for months.

Investors were bilked out of approximately $611,000, say federal prosecutors.

The newly merged practice became the seventh largest at the No. 18 IBD.

Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.

The new location will initially have 200 employees, most of which will be in areas like technology and wealth management.

Quality is a nebulous assessment and can change over the years — remember Sears? — but appears to portend outperformance using most companies’ measures.

James Van Steenhuyse will oversee the firm's planned growth in the region.

Pinnacle Investments tapped Ami Forte despite her ongoing legal struggles with her former firm and Home Shopping Network founder Roy Speer’s estate.

Parents should ensure that their child has earned an income to be able to open the account.

The S&P 500 has been on a tear, but there are always outperformers — see who bested the competition.

Exodus to RIAs continues, but Schwab cites red flags.

First Trust’s Jim Bowen reminded attendees at BISA's annual conference last week just how good American life can be, offering a can-do attitude that advisors need to adopt.

Jarrett Kovics will help the firm with recruiting and advisor development.

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

Financial planners are wary of text-only service options, arguing they would contribute further to the commoditization of advice.

Fintechs are pitching new tools to plan providers claiming they can lower 401(k) costs.

The bank’s asset management unit has approached ETF Securities and Global X in an effort to expand its lineup.