Compliance

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.

The agency also proposed a rule to permit cities to create their own savings plans.

The dollar strengthened and Treasuries extended their steepest monthly loss since June 2015 amid hawkish rhetoric from Federal Reserve officials over the past two weeks.

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

Federal Reserve Chair Janet Yellen’s speech Friday was hawkish enough for Goldman Sachs to boost the odds of a September interest-rate increase, while Pimco said there was nothing of note in her remarks.

A lawyer for the bank had argued in a federal court that the severance proposal was a confidential settlement offer that shouldn't be public.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Weeks of conflicting economic reports have whipsawed money managers overseeing about $6 trillion, including Pimco and Vanguard Group.

A class of investors that includes foreign central banks and mutual funds bought a record amount at the $34 billion debt sale.

The fundamental nature of the social network is interaction and conversation — not the simple spouting of PR.

Far from signaling industry hardship, increasing liquidations reflect the ETF industry’s ebullient growth.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

The rule is finally dragging traditional brokers into the modern era.

The lawsuit highlights a friction that exists at financial-services firms that put employees into their own product.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

The adviser, who was ranked in On Wall Street's Top 40 Under 40, is accused of conducting more than $1 million in private security transactions without notifying his employer, Hilliard Lyons.

Advisers may want to entertain a settlement offer from the regulator, even when planners disagree with allegations made against them, says our compliance expert.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

The lawsuit highlights a friction that exists at financial-services firms that put employees into their own product.