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

The New York Stock Exchange plans to delist RCS Capital (RCAP) common stock if the firm doesn’t get its stock price up, according to the firm. Companies listed on the exchange must keep their average closing price per share above $1 for ...

I WANT my money back. | Copyright Al Bello, Getty Images NBA star Tim Duncan has filed another lawsuit against his financial advisor, claiming he was duped into investing $1.1 million into a cosmetics business. Duncan, who previously filed...

U.S. stock indexes were on track for their steepest fall in over a month on Thursday as lower commodity prices weighed on energy and materials stocks and comments by a Federal Reserve policymaker hinted at an interest-rate rise next month...