Compliance

Swaps trading shows the expectation for a faster tightening cycle.

The $1.68 billion fund has returned 4.2% since he started managing it in October 2014.

A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.

Tuesday’s decision is the latest blow for the man who had been one of the most powerful public figures in the financial world.

Banks, technology companies and drugmakers paced the early rebound, with lenders headed toward their biggest one-day gain since August.

Wary investors pushed the S&P 500 Index of equities to its longest slump since 1980.

FINRA claimed the firm failed to adequately supervise the execution and approval of powers of attorneys submitted by non-U.S. customers of J.P. Morgan Private Bank.

Key people should be focused on rainmaking, not endless other tasks.

The firm is going for a middle-of-the-road approach that includes fee-based retirement accounts and which also relies on the best interest contract exemption with certain clients, says CEO Ron Kruszewski.

If you plan to join another firm or go indie, you’d better reacquaint yourself with this landmark agreement first.