Lawmakers in the House of Representatives have reintroduced a pair of bills aimed at expanding the definition of "accredited investor" in a bid to give more Americans access to a broader swath of ...

A former financial advisor who sold her registered investment advisory firm to Wealth Enhancement Group and then pleaded guilty to stealing more than $2 million from her clients has been sentenced to ...

Charles Schwab says it's rolling out a program for financial advisors with modest books of business who want to go independent, offering operational and technical support to help build and grow their ...

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 ...

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, ...

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 ...

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 ...