Practice management

Trades were made in UITs, closed-end and mutual funds by two Maryland brokers on behalf of 10 customers, FINRA charges.

Hedge fund firm Tiger Management LLC has tapped the expertise of a former Goldman Sachs executive to help run its operations.

As federal regulators begin implementing regulatory reform, at least one agency plans to step up its disclosure of private meetings with industry insiders.

President Obama's signing of regulatory reform legislation Wednesday signaled the official end of a hard-fought legislative battle but just the beginning of the tougher task of implementing the new law.

The Securities and Exchange Commission voted unanimously on Wednesday to propose limits on mutual fund distribution fees and provide more transparency for investors.

One in four financial advisors expect clients to increase charitable giving to offset anticipated tax hikes, but only 52% of advisors proactively offer charitable planning advice to their clients, according to a survey released Wednesday by the Fidelity Charitable Gift Fund.

The regulator said the company made negligent misrepresentations related to subprime securitizations.

RBC Wealth Management recruited Kevin Williams to serve as a senior vice president and branch director of its Richmond office.

Rising tuition fees and the uncertain state of the economy are causing more people to put their own retirement savings ahead of their children’s college education.

The Securities and Exchange Commission is considering holding five field hearings between September and January as part of a nationwide inquiry on the municipal market that is expected to lead to recommendations for statutory and regulatory changes to better protect investors.

New authority granted to the Federal Reserve by the Dodd-Frank Act embodies a significant change in the thinking about, and approach to, functional oversight.

In five years as comptroller of the currency, John Dugan did not draw the limelight shined on other regulators. But as he gets ready to depart, there is no shortage of opinions on his tenure.

The company has snatched two more advisors from Morgan Stanley Smith Barney.

No fund manager likes to fail in his or her trading strategies. It's bad for business.

Goldman’s settlement with the U.S. government comforted some Wall Street analysts who track the bank on Friday and news of the settlement spurred at least one of them to change their outlook on the company.

The trend towards younger target-date fund participants is due to the fact that new employees are more likely to be automatically enrolled in their employer’s 401(k) plan, where target-date funds are often the default option, the study said.

June hires turn positive thanks to aggressive recruiting in all positions by the industry’s largest firms.

Although the Senate finally voted Thursday to send regulatory reform to the president's desk, policy circles are already abuzz about what changes to seek in a "corrections" bill to fix problems with the legislation.

The team of four advisors generated $3 million in fees and commissions in the last 12 months and managed $558 million in client assets.

The Senate voted 60 to 39 this afternoon to approve sweeping changes to the financial regulatory system designed to address the causes of the 2008 financial crisis.