Investments

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

A new report found more than 542 shareholder resolutions filed on ESG issues as of mid-February in this year's proxy season. But anti-ESG proposals also jumped.

The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

In today's interconnected economy, is there any way to hedge your bets? The experts weigh in.

A Tik Tok trend is helping some consumers to save more and spend less.

Leaning into the technique and the technology that enables it at scale can differentiate a practice while driving better clients outcomes.

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

A pair of veteran brokers and six other defendants face hundreds of felony counts in a long-developing state enforcement case out of Toledo, Ohio.

New portfolios from BlackRock, Fidelity, T. Rowe Price and Clark Capital underscore the Chicago-based firm's ambitions with independent advisors.

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.

A new study by the nonprofit ETF Group highlighted how sustainable investors should look at the extractive agrifood sectors the same way they regard the oil, gas and coal industry.

As giant institutional asset managers like BlackRock manage over $60 billion assets in ESG-focused funds, much smaller firms are targeting retail investors looking to create a socially impactful portfolio in local communities.

The economic slowdown combined with mounting company stress could result in higher default rates, making the market segment a viable candidate for portfolio diversification.

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.