Compliance

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

Despite confusion over the rule's fate, ERISA attorney Fred Reish warns advisors it's likely to go into effect without significant changes.

The Broker Protocol is just the first step. Those entering the fiduciary world still have to proceed with caution.

Alexander Acosta must reckon with a June 9 deadline amid a tense political debate dividing the industry.

The firm's Private Client Group saw pretax profits drop to $29 million from $83 million for the year-ago period.

The Labor Department's own rule-making process may be presenting hurdles to completely rescinding the regulation.

For the 33rd consecutive month through December, investors withdrew money from active managers. Last year, passively funds attracted almost $505 billion.

Not only are traders worried about tightening monetary policies from the Fed, but also the Trump administration’s struggle to enact pro-growth policies.

The iShares unit has had other departures in recent years.

The rep argued that the money she received was not a loan but rather the proceeds from the sale of her tractor to the customer.

So far this year, 1.2 million shares were traded daily on average on the Nasdaq Biotechnology ETF, down from 2.2 million in the same period in 2014.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

A single percentage point increase in ETF ownership has demonstrable effects on an individual stock, researchers said.

Most of the inflow came in the second half of the month after the Fed laid out an unexpectedly dovish rate-hike outlook, Russia's central bank said.

The world's central banks are beginning to plan their course through the uncharted waters of quantitative tightening.

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

The new offerings could boost returns to investors by 50 basis points, according to a study.

The new offerings could boost returns to investors by 50 basis points, according to a Morningstar study.

The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.