Just when it seemed Ameriprise and LPL Financial were making progress in their long-running legal spat over recruiting, a group of LPL financial advisors disrupted the peace.

Wirehouses, independent broker-dealers and regional firms could see a shortfall of tens of billions of dollars a year under a possible new approach by the Securities and Exchange Commission to mutual ...

The Consumer Financial Protection Bureau says it plans to rescind nearly 70 policy and regulatory guidance documents dating to 2011, according to Reuters.

Edward Jones reported solid growth in income for the first quarter of this year as its advisor ranks and client ranks grew.

Finra plans to modify its heightened supervision plans for the 77 broker-dealers who reached such settlements with the SEC prior to 2025, according to a Thursday blog post by Finra President and Chief ...

The Securities and Exchange Commission has reached a settlement with Ripple Labs and two of its principals over sales of the firm's cryptocurrency token XRP in a move that Democratic Commissioner ...

LPL Financial on Thursday reported robust growth in revenue and income in addition to a healthy boost in client assets driven by continued expansion of its financial advisor force. The company's ...

Elevation Point, which takes minority stakes in registered investment advisory firms, said it was itself the recipient of a minority investment from private equity shop Emigrant Partners. The ...

A veteran Merrill Lynch market supervision manager has failed in her attempt to expunge an old customer complaint from her record.

UBS will discontinue two major pieces of its digital wealth offering in the coming months, the company said in its latest disclosure brochures filed with the Securities and Exchange Commission.