Competition is intesifying. | DAJ/Thinkstock Individual investors will drive the future of asset management. In 2014, individual investors represented 90 percent of the industry’s net new flows, but will account for nearly 120 percent by 2...

U.S. SEC Commissioner Luis Aguilar plans to leave the agency in December, he said in a statement on Monday...

In an effort to make it easier for Americans to save for retirement, the Department of Labor on Monday released a proposed rule and guidelines to expand state retirement plans...

The Financial Industry Regulatory Authority levied a $2.6 million fine against Scottrade on Monday for failing to retain more than 168 million outgoing emails and record email communications in the proper format...

European shares reversed early losses on Monday and the safe-haven yen fell against the dollar with analysts seeing no long-term economic impact from Friday's attacks in Paris...

The market volatility in the third quarter wasn’t enough to shake advisor optimism. Nearly every one of the 638 RIAs surveyed in the latest Independent Advisor Outlook Study, which Charles Schwab released during its annual IMPACT 2015 conferen...

The regulator is currently reviewing comments and plans to roll out the general knowledge exam in the fourth quarter of 2016