UBS is set to pay hundreds of millions of dollars to settle allegations that Credit Suisse violated an agreement it reached with the DOJ in 2014, when it agreed to pay $2.6 billion to resolve ...

Trump's pick to replace Gensler, former SEC commissioner Paul Atkins, is seen as far more friendly to the industry overall and to crypto specifically.

The Financial Industry Regulatory Authority has censured and fined Fidelity Brokerage Services for allegedly allowing one of its employees to filch hundreds of thousands of dollars from participants ...

Dan McGilvray, 51, of Broomfield, Colorado, was identified as the passenger who climbed over a balcony and jumped off the ...

BofA Chief Executive Officer Brian Moynihan has repeatedly touted the cross-delivery of services between Merrill and the ...

Wilson's chief concerns are the "decisively negative" correlation between the S&P 500 Index and bond yields — with 10-year ...

The North American Securities Administrators Association announced that Edward Jones has agreed to pay $17 million to settle ...

The global head of BNY 's wealth management division, Catherine Keating, is retiring from the firm on April 30, according to a regulatory filing Tuesday. BNY does not intend to name a new global head ...

Raymond James ' exiting Chief Executive Officer, Paul Reilly, saw his compensation dip in 2024 while incoming CEO Paul ...

The acquisition marks EP's first offices in Michigan and its seventh acquisition for 2024, which was an annual record for the ...

The SEC in 2020 proposed modernizing its marketing rule for investment advisors, including expanding the definition of ...

And for those who remain committed to active strategies, a burgeoning crop of active ETFs and converted mutual funds provide further competition. A study from Cerulli Associates found that financial ...