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.

Federal Reserve Chair Janet Yellen’s speech Friday was hawkish enough for Goldman Sachs to boost the odds of a September interest-rate increase, while Pimco said there was nothing of note in her remarks.

A lawyer for the bank had argued in a federal court that the severance proposal was a confidential settlement offer that shouldn't be public.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

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

Eligible taxpayers can now qualify for a waiver of the 60-day time limit and avoid possible taxes and penalties on early distributions, if they meet certain requirements.

Weeks of conflicting economic reports have whipsawed money managers overseeing about $6 trillion, including Pimco and Vanguard Group.

A class of investors that includes foreign central banks and mutual funds bought a record amount at the $34 billion debt sale.

The fundamental nature of the social network is interaction and conversation — not the simple spouting of PR.

Far from signaling industry hardship, increasing liquidations reflect the ETF industry’s ebullient growth.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

The rule is finally dragging traditional brokers into the modern era.