Compliance

The fund's manager, who was 11 years old when Vanguard began offering the fund in 1986, tracks the performance of more than 10,000 securities.

Stress-testing under a scenario that includes severe corporate defaults and sharp declines in U.S. equity could reduce security risks, according to the report.

The metal has tumbled in the past month, partly on anticipation of the decision as well as a surge in U.S. equities since the election of Donald Trump as president.

With a close watch on the policies from incoming President-elect Donald Trump, industry leaders and analysts share their predictions for industry trends in 2017.

The lawsuit alleges that Muirfield President Geoffrey Stern exposed Highland to "public hatred, ridicule and disgrace."

Despite expected industry constriction, a number of leaders see opportunities in employing technology, innovative products and even strategy toward regulation.

The industry trade group is also calling on regulators to harmonize existing rules.

The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.

Further shifts in broker pay could be possible as the industry moves to comply with the fiduciary rule and the Department of Labor issues new guidance.

Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.

An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.

Anticipation of auto enrollment features is expected to change the way advisers serve their clients.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

President-elect Trump will likely to be "bond unfriendly" because his proposals will drive up yields by increasing national debt and stoking inflation, Gundlach predicts.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

"An investor should move to cash and cash alternatives," he advised.

The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.

There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.

The regulator claimed the firm provided inaccurate historical weighted-average performance results to customers who used PortfolioBuilder2.

A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.