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When S&P Dow Jones Indexes announced that Apple Inc. would replace AT&T in the Dow Jones Industrial Average, many retail investors took notice.

With Apple set to replace AT&T in the Dow Jones Industrial Average, here's a look at how these two stocks and their neighbors have fared over the past few years.

Announcing its automated investment product, Schwab takes aim at new digital advice competitors.

Two Morgan Stanley advisors managing about $150 million in assets moved to the regional broker-dealer.

A team that produced $3.1 million in annual revenue moved between wirehouses.

The review is likely to start with broker-dealers and their platforms; It will coincide with a second, more targeted phase of the commission's cybersecurity sweep.

Banks can "dot the i's" by focusing on investments and insurance for their customers.

BofA and its Merrill Lynch unit were sued by two former advisor trainees who claim they weren't paid overtime for 10-hour days, long nights and weekend work.

One strategy to handle the risk of higher interest rates is to invest in ETFs; Plus, picking a place to retire.

Municipal bond sales in the U.S. are set to increase in the next month while the amount of redemptions and maturing debt rises.

With the asset management industry in better financial health, compensation is climbing for the right candidates, whether at the analyst level or senior executives, recruiters across the country say.

Elizabeth Bramwell, the founding manager of Gabelli & Co.’s growth mutual fund who quit to form her own asset management firm and became a beacon for women in the field, has died. She was 74.

The latest earnings reports from Raymond James, Ameriprise, Stifel and RBC show how these key regional broker-dealers measure up.

Community and regional banks should be subjected to simpler rules than very large banks, the chairman and CEO of the Buffalo, N.Y., company said. In fact, size is the wrong determinant for risk-based regulation, he said.

Learn how to earn money through IRA rollover options; higher earners should be aware of six mistakes that could result in higher costs and taxes; plus cheaper retirement plans for small firms with help of a new tech startup?

French investigators are seeking to detain three former executives for questioning amid allegations the Swiss lender helped clients evade taxes, said a person familiar with the case.

The firm's employee channel picks up two financial planners from brokerage M.J. Whitman.

The SEC acknowledges that cybersecurity requirements vary from one practice to the next, but insists that the tone from the top is critical.

Getting to intimately know the business and culture of CapGroup Advisors was key to this week's merger, says Michael Nathanson, chairman and chief executive of Colony Group.

This week's items of note includes a Fed warning on potential misperceptions of liquidity with ETFs, a report on clients defecting at an unprecedented rate from Pimco's developing-nation mutual funds, a study showing underlying investment fees have declined at small retirement plans, and exchange operator BATS naming a new CEO.