Capital markets

Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.

Preparation, acceptance and a generous dose of patience will be required to help investors weather a forecast that includes prolonged high-interest rates.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

Officials are looking into the banking giant's anti-money laundering measures with clients outside the U.S.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

The inquiry into Wells Fargo comes at a time when clients can often secure much better rates of return through money markets and certificates of deposit.

The deal, which closed Oct. 31, adds 17 financial advisors and marks the RIA acquirer's fourth purchase under its new ownership.

The unprecedented run of bull markets that buoyed fund managers' investments and masked life-threatening vulnerabilities may be a thing of the past.

The mega bank predicts the traditional investing strategy will outperform both cash and inflation in the next 10 years.

The race to invest in artificial intelligence may be outpacing a full understanding of its risks. It's a high-stakes question for ultrawealthy investors and family offices.

The new offering will be only open to accredited investors and qualified clients.

An SEC panel meets to question who should meet the criteria for putting money into complex and possibly risky investments.

The closings underscore shifting fortunes for sustainable investing as returns disappoint investors and anti-ESG rhetoric persists

Mutual funds will have to take extra care when using terms like ESG, value and growth.

A new study sees family offices getting into bond markets but at the cost of another type of bond.

With market uncertainty still in the air, annuities continue to break sales records. Advisors say they work for some clients, but not all.

The Swiss banking giant will cover some 3,000 stocks and 18,000 bonds.

A new book by Harvard Law School professor and former SEC official John Coates warns of "a deep tension" threatening the American economy and politics.

Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.

Companies as diverse as UPS, Fed Ex and AT&T are learning how environmental and social issues can affect their bottom lines.