The SEC's 17-member Market Structure Advisory Committee includes representatives of fund companies, an exchange, off-exchange trading venues, dealers, and academia, among others.
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Wells Fargo and TIAA-CREF are among the top U.S. companies with the most diverse workforce. The two financial services instructions landed in the eleventh and thirty-seventh spo...
(Reuters) - Canadian Imperial Bank of Commerce (CM.TO) is in talks with several U.S. companies on a potential $2 billion wealth-management and private-banking acquisition, its top executive said in an interview...
While securities regulators say self-reporting offenses and cooperating with authorities may help advisors and firms get off easier, industry lawyers say there are negative consequences, including reputational damage and costly internal...
Man vs. Machine
In the ongoing debate about robo-advisors, one argument that technology detractors like to fall back on is that an algorithm can’t provide the same service as a flesh-and-blood advisor. MarketWatch decided to put that idea ...
There are still brokers out there acting like the "Wolf of Wall Street," and FINRA is making it a high priority to shut them down, said the agency's head of enforcement at a law seminar in New York Friday, pointing out that in the...
Too many cooks? | designaart/iStock/Thinkstock
If you have some eggs about to expire, or a car that has problems, you can turn to an online community to find some solutions. But what if you have a financial issue, like what to do with a wi...
Money Management Institute announced Wednesday that Craig Pfeiffer, a seasoned wealth management executive and founder of advisor training firm Advisors Ahead, would be MMI's new president and CEO. Pfeiffer succeeds...
David Tittsworth, the former president and CEO of the Investment Adviser Association, has come out of retirement to join the investment management practice at law firm Ropes & Gray. Tittsworth will serve as counsel in the firm’s...
