FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The move limits the bank’s ability to make golden-parachute payments and requires regulator approval before executives are hired.

"Advisers cannot just sell an all-Vanguard portfolio and hope to afford their fee," says Jonathan Steinberg, WisdomTree's CEO.

Looking to reach out to more potential clients, adviser Dave Grant tests two new platforms: Snappy Kraken and Twenty Over Ten

Analysts say there may be increased activity in 2017 among "active-oriented traditional managers," spurred by performance issues.

The overwhelming majority are planning for the rule to go into effect as scheduled, with only 5% slowing down their preparations.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

Despite anticipated tailwind, the firm's ETF product management head says investors still have cost control.

FINRA fines Lincoln Financial Securities for foreign hack attack.

The bank announced that its retail brokerage arm will move to a level-fee pricing model for customer retirement accounts by April 10.

President-elect Donald Trump's victory has spurred a steepening of the yield curve fueled by rising term and inflation premiums.

Fund managers say they are putting cash to work this month at the fastest pace since August 2009.

Donald Trump's election has caused the biggest dispersion among U.S. equities in almost eight years.

After more than three-and-a-half years at the helm, Mary Jo White made incremental moves to expand advisor exams, but did not move on structural reform or implement a uniform fiduciary standard, as many advocates had hoped.

If I were a bank, I'd worry that the advisers who leave aren’t just from the lower ranks, but some of the top tier as well.

Competition is rising from passive funds as managers find it harder to justify charges 50% higher than their developed-world peers.

The IBD selects UBS veteran to become CEO

"There are certain business models that will be significantly disrupted," Orion Advisor Service CEO Eric Clarke said in anticipation of a new Donald Trump administration.

While it’s early in the process, a number of names are being floated as possible contenders.

The commission will examine how digital advice platforms uphold fiduciary responsibilities and safeguard client data.