Compliance

Prospects for an outright shrinkage of the central bank’s roughly $4.5 trillion ledger didn’t discourage markets one bit — at least on Wednesday.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

The investment manager has filed an initial registration statement with the SEC for eight funds, sub-advised by two affiliates of Legg Mason.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

RIAs must start disclosing more about bad actors, auditors and asset breakdowns.

A report from the bank concludes that payouts on the country's securities, while difficult to determine, are likely to far exceed current pricing.

Customers who were eligible for Class A shares in certain mutual funds without a front-end sales charge were either not given the sales charge waiver or sold more expensive Class B or C shares, FINRA claimed.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

The strategist, who has long criticized the BRIC idea, changed his views as the Fed appears to have capped long-term U.S. yields, even as it raises rates.

Companies in the Russell 2000 index are among the biggest beneficiaries from President Trump's growth and tax reform agenda, and a stronger dollar.