Regulators and industry participants continue to battle over what kinds of reforms should be made to money market funds. Tuesday, the Securities and Exchange Commission held a roundtable on money market funds and systemic risk in which several...

The Financial Industry Regulatory Authority and the Securities and Exchange Commission are stepping up their scrutiny of the accounting and audit process of broker/dealers, reviewing financials more closely and requesting data on a more frequent...

A whole lot of money should change hands in the next few years, as inheritances get passed down to the next generation, according to the Institute For Preparing Heirs. The industry buzz word for this: intergenerational wealth transfer. Today...

Wells Fargo Advisors’ is looking for recruits in out of the way places. In April, Kent Christian, president of Wells Fargo Advisors’ financial services group, told a Securities Industry and Financial Markets Association conference that...

New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. The initiative, aimed at improving transparency for...

Broker/dealer executives who speak at their national conventions often aim for a tone that rallies the troops, and the Raymond James Financial Services conference in Las Vegas this week followed the pattern—with one surprising exception...