Competition is forcing fund companies to deliver "outperformance to their clients in new and innovative ways," says ACSI Funds CEO Phil Bak.

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

The arbitration award comes a month after the wirehouse had to pay a similar amount to clients stemming from the sale of debt from the island commonwealth.

The Financial Stability Board recommended that regulators bolster oversight of exchange-traded, mutual and other funds.

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

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

Citigroup Global Markets paid a $1 million penalty to New York State for overcharging more than 47,000 customers. It will also reimburse the customers.

OSHA supports ex-broker Johnny Burris’ firing because he allegedly faked company letterhead. Burris says the bank approved the altered letter years before.

The decision vindicates ex-broker Johnny Burris, but also supports the move to fire him. However, a bank document obtained by Financial Planning casts doubts on the reason for his termination.

FINRA accused the rep of "structuring" transactions by making cash deposits into her personal savings account in amounts under the currency transaction reporting threshold of $10,000.

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

Envestnet CEO Jud Bergman says experts plus machines deliver better outcomes than experts or machines alone.

Large mutual, pension and hedge funds are chasing better returns in rallying U.S. stock markets thanks to President-elect Donald Trump's pro-growth policies.

Though some say the rule's future is in doubt, the firm is going ahead with sweeping changes it hopes will make its advisers more competitive.

From fiduciary to robos to marketing: A close look at advisers’ top concerns and how their budgets have changed year-over-year, from TD Ameritrade’s annual survey.

Industry experts said the proposal shows that New York, which oversees a number of major Wall Street players, is positioning itself to take a more aggressive approach than its federal counterparts.

The advisor paid $50,000 to a widow's lawyer to refer her $100 million account to him – a fact he failed to disclose to the client, the agency claims.

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.

A deeper understanding of how to deploy robo technology is needed if a firm plans on offering a digital institutional solution, says Envestnet CEO Jud Bergman.