Securities and Exchange Commission Chair Paul Atkins has indicated that the regulator is revisiting its position on private funds investing by closed-end funds as well as on the Consolidated Audit ...

State securities regulators are urging the Financial Industry Regulatory Authority to toughen its proposed rules on outside business activities, which have already met pushback from the industry.

Osaic announced that the wealth management programs of five credit unions formerly affiliated with Atria Wealth Solutions have joined its institutions channel. The programs have a total of $500 ...

Stifel Financial is challenging a damages award of nearly $133 million issued against it by an arbitration panel the firm says was "infected with fundamental prejudice" by a panelist who had ...

JPMorgan Chase Chief Executive Officer Jamie Dimon has signaled that the bank is taking a different tack on Bitcoin, but his view is unchanged — as are his plans about stepping down from the helm, ...

An AdvizorPro study found that more than one-quarter of registered investment advisors are multicustodial. Registered investment advisors are opening to newer custodians as they seek multiple partners ...

Mary Erdoes, head of J.P. Morgan’s asset and wealth management business, intends to continue in that role regardless of who takes over Jamie Dimon’s job, sources said. This story originally ran on ...

The advisor put 96% of one client's liquid net worth into the speculative bonds issued by GWG Holdings, according to Finra. The Financial Industry Regulatory Authority has sanctioned a former ...

Despite recently dismissing its lawsuit accusing cryptocurrency exchange Coinbase of illegally peddling cryptocurrencies, the Securities and Exchange Commission is still investigating whether the ...

Staff reductions at the Securities and Exchange Commission following the buyouts offered by President Donald Trump 's administration have hit some divisions and locations harder than others, according ...

The public comment period on the Financial Industry Regulatory Authority 's proposed updates to its rules governing brokers' outside business activities closed on Tuesday, capping a particularly ...

A California retiree has filed a lawsuit accusing Charles Schwab and Hightower of causing his retirement savings to dwindle by more than $422,000 — roughly half of the account's original value — ...