The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the regulator’s uniform fiduciary standard, saying that the staff was moving forward “expeditiously...

A family of Volunteers. Clients with families are, naturally, keen on saving money and making the wisest investment decisions possible. But where they live is perhaps just as important to their financial wellbeing. New York and Hawaii, for...

Thousands of financial advisors are hitting Boston this week for Charles Schwab Advisors Services’ annual IMPACT conference, which kicks off Tuesday. Cybersecurity, “big data,” and technology will all be major themes, and not just because Schw...

Advisory firms that have outsourced their compliance programs may need to double check to ensure their providers are actually covering everything. ...

The next robo? According to two anonymous sources cited by Bloomberg, Bank of America’s Merrill Edge has put dozens of employees to work on a robo advisor prototype that will service accounts with less than $250,000. Bank of America plans ...

The good ole days. Pump-and-dump schemes have taken to the internet. Fintech firm HedgeChatter has come up with a way to combat stock price manipulation on social media and message boards. The firm has launched a filter that screens chat ...

Minorities and women remain underrepresented at agencies that regulate the financial services industry, including at the Securities and Exchange Commission, a report released Thursday found. The Committee on Financial Services' report highligh...

Technology companies are notoriously taking longer to go public, and that's forcing some mutual fund companies, such Fidelity and T. Rowe Price, to go to the secondary market to find liquidity and pricing, according to Paul Boyd, managing partner...

To each her own. | Copyright Mario Tama, Getty Images Some wealth management firms are developing platforms for providing specialized socially responsible investing for their clients, according to Institutional Investor. Morgan Stanley, fo...

Start it up. | Copyright Dan Callister, Getty Images If you want to be an independent financial advisor, you’re an entrepreneur. And where is the best place to be an entrepreneur? According to a new ranking of the best and worst states for...