In the latest move indicating a more benign approach to digital assets under the administration of President Donald Trump, the Securities and Exchange Commission has set up a new unit to replace its ...

An ex–J.P. Morgan private client banker can clear his record of Form U5 language he claims is defamatory and misleading. Julio Alberto Romero was discharged by JPMorgan Chase in November 2013, after ...

Wells Fargo, which recently removed references to diversity in its annual report, has also scrapped a diverse hiring policy, amid a rapid shift away from such initiatives since President Donald ...

Goldman Sachs is the latest Wall Street giant to reverse course on diversity language in its corporate documents amid a countrywide pushback against diversity, equity and inclusion initiatives that's ...

The Securities and Exchange Commission continues winding down its caseload related to cryptocurrencies, most recently abandoning its case against Coinbase, the largest U.S. cryptocurrency exchange, ...

Raymond James announced that it has added two executives to its Private Capital Markets team as it expands its range of offerings for high-net-worth clients. The firm has named Ken Novak its head of ...

The Securities and Exchange Commission is now requiring some of its lawyers to get approval from the politically appointed commissioners before embarking on probes, according to Reuters. Some members ...

The Certified Financial Planner Board is urging financial professionals to tap the capabilities of generative artificial intelligence, keeping in mind their obligations as far as the sensitivity of ...

The Securities and Exchange Commission has ordered all union staff back to the office a month after instructing them that they would not have to do that, according to news reports. All staff will be ...

This is the second article of Financial Advisor IQ's five-part special report on the impact of Secure Act 2.0 on financial advisors. The Secure Act paved the way for more companies of all sizes to ...

Advisors going independent typically have had to compromise on capabilities for more control over their business, but that will soon change, according to LPL CEO Rich Steinmeier.