The Treasury will soon crack down on valuation discounts. Here’s what it means for your ultrahigh-net-worth clients.

Managing a deluge of data analytics, adapting blockchain technologies, and providing increased data record security and transparency by regulators and investors are all issues firms will face, NICSA members say.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

Technology that improves compliance, lending and payments by automating processes and relying on AI was spotlighted at Next Money and Finovate, two fintech conferences held in New York this week.

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.

The penalty is the largest ever imposed by the Consumer Financial Protection Bureau.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

Gold has rallied 27% this year as the Federal Reserve held off on raising U.S. interest rates.

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

The positioning leaves the biggest speculators at odds with an increasingly skeptical analyst contingent on Wall Street.

These trends are expected to be at the top of RIA agendas next year, says Fidelity's David Canter.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.

The agency also proposed a rule to permit cities to create their own savings plans.

The dollar strengthened and Treasuries extended their steepest monthly loss since June 2015 amid hawkish rhetoric from Federal Reserve officials over the past two weeks.

Because community property law can dictate who gets an IRA after death, it must be taken into account when a client names a beneficiary.

The firm's expansion may also include assignments on private placements and unsecured-debt from real estate investment trusts, an executive says.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.