Investments

In first appearance before GOP-controlled Financial Services Committee, SEC Chair brushes off criticism over regulation of digital assets.

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

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

The giant financial institution's performance during the first three months of 2023 is being closely watched by the wealth management industry.

While a securities-based loan is more commonly used to buy a fancy house or take a dream vacation, it's also an underused strategy for some affluent investors to pay large tax bills.

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

Four forms in particular contain insights to a client's financial life and how to serve them better. We explain them here.

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

From the mortgage deduction to 1031 exchanges, real estate offers some powerful tax tools for investors.

A young New Yorker has invested in both American and international index funds. How much should he put into each?

The hybrid structure confers higher contribution limits, allowing savers nearing retirement to quickly build up balances.

A new analysis by Ceres found that pledges by financial institutions to combat climate change are at odds with their bankrolling of fossil fuel companies.

Even though there's not a way to predict who might face the next wave of layoffs, advisors can help clients prepare their finances.

A new Morningstar report says that tax benefits outstrip the appeal of creating and owning a bespoke basket of stocks.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

Exchange-traded funds focus on natural gas and technology did horribly last year, but they're still drawing in new money.

Wealth managers are increasingly pledging to address diversity, equity and inclusion in their businesses.

Taxable bond exchange-traded funds have drawn floods of cash ever since two banks collapsed in March and deepened fears of an economic downturn.