Equities

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

Investors who fled equities during last year's rout have not benefited from subsequent recovery.

FINRA and NORC survey results suggest the flood of new investors hasn't slowed since the pandemic, and many of them are coming for digital assets.

More than $12.6 billion flows into equity exchange-traded funds in April, the most since January.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

The stalwart allocation has a logic to it, but its simplicity hides two significant problems.