If at first you don't succeed ... | Copyright Sean Gallup, Getty Images Edward Jones was the first firm to partner with the Securities Training Corporation to sponsor Series 7 prep courses at various universities in early 2015. But recentl...

The Financial Industry Regulatory Authority plans to look closely at broker/dealers’ culture this year, the regulator said in its annual enforcement and priorities letter released this week, a move that follows other regulators scrutinizing...

Hightower has made something of an art form out of the animated whiteboard drawing - using the technique in a few videos to help (literally) illustrate what they do. Its latest video takes the innocuous cartoon format and sharpens it into a d...

Morgan Stanley (MS.N) has promoted its head of institutional securities, Colm Kelleher, to president, prompting Greg Fleming, the head of wealth management, to leave the bank. Gorman sent a firm-wide memo on Wednesday announcing Kelleher’s pro...

JP Morgan Chase & Co's brokerage unit will pay $4 million to settle allegations it misled customers about the form of compensation it paid to brokers, the U.S. Securities and Exchange Commission said on Wednesday...

Buy, buy, buy. | Copyright Joe Raedle, Getty Images The stock market on the whole may be struggling to start 2016, but that's not the case for gun manufacturers. Gun stocks gained 78 percent in 2015, according to USA Today, compared to the...

Welcome to the first issue of WealthManagement, formerly REP. magazine.  We’ve written elsewhere about the reason for the change: It moves the print edition in closer alignment to our digital home at WealthManagement.com, where all this conten...

A new crop of broker/dealers and funding portals are forming to capitalize on new equity crowdfunding rules. But will there be a market?