Securities

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

Finance gurus see the coming 12 months as a time to dilute concentrations in cash and large firms' stock and consider emerging markets and small caps.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

Brian McDonald, head of Morgan Stanley at Work, spoke with Financial Planning about how the firm aims to extend its roots in Silicon Valley and build on equity compensation offerings.

The Swiss banking giant will cover some 3,000 stocks and 18,000 bonds.

The strong market thus far in 2023 has some concerned about a possible sell off.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

A survey from the FINRA Foundation and CFA Institute finds that cryptocurrency and individual stocks remain popular with the younger crowd.

The banking giant plans to put all asset managers through training in Python programming language, whether they 'like it or not.'

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

More than $12.6 billion flows into equity exchange-traded funds in April, the most since January.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

In first appearance before GOP-controlled Financial Services Committee, SEC Chair brushes off criticism over regulation of digital assets.

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.