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 ...

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 ...

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 ...

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 ...