Law and regulation

One barred broker borrowed funds from clients without approval, according to FINRA.

The world's largest asset manager is making the move in an effort to lower costs for clients, the company said in a statement.

A revenue boost for the firm's asset-management unit is key and could play a role in raising capital that's been eroded by misconduct charges.

The industry will experience an acceleration of the technology as firms meet data challenges, says Todd Moyer, an executive vice president at Confluence.

The move echoes a larger effort by Wall Street to boost brokerage revenue as investors flee actively managed funds for cheaper products.

Markets are starting to shift their attention away from growth-supportive tax policies.

The latest offering from Kevin O'Leary's O'Shares ETF Investments focuses on dividend-paying companies. Plus: Other launches.

Coding and other billing system errors were to blame, according to the regulator.

Daily volume has increased among both ETFs and equities, but the growth hasn't been equal.

The firm said it received a 1% boost to $2.89 billion. Analysts predicted $2.93 billion.

A husband and wife alleged they were advised to cash out nearly $1 million of their pension money for risky investments, according to their lawyer in FINRA arbitration.

Goldman Sachs has a full suite of services to offer quants after upgrading its technology, according to the partners leading the effort.

The threshold would mark an end to a three-decade bond bull market, according to billionaire bond manager Bill Gross.

Even when they have a retirement plan, it is likely to be astronomically more expensive than those offered by large companies.

Lately the results haven’t been keeping up with the enthusiasm.

Researchers suggest shifting away from total shareholder return as a method of ascertaining directors' performance.

The wirehouse alleges two arbitrators failed to disclose key information about their professional and personal histories.

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

The biggest product in that category suffered over $161 million in outflows on Wednesday; its largest one-day withdrawal on record.

The former broker, who pleaded guilty to securities fraud last month, allegedly promised clients returns of up to 15% and used proceeds for personal expenses.