The SEC formally assured the brokerage industry that for 30 months it won’t take action against firms that break out the cost of market analysis for clients subject to European Union rules taking effect in January.

THL is committing $100 million to Hightower to support the firm's expansion.

Fallout from the Senate vote on arbitration clauses, Douglas Boneparth takes Tony Robbins to task, and another financial advisor is charged with fraud.

The firm’s move away from 12b-1 fees resulted in reduced revenue by a net $54 million in the third quarter.

Three top executives of leading IBD firms on fixing the fiduciary rule, how the demographic tides are working against them and why they should be more scared of Amazon and Google than each other.

Sexual harassment is not just confined to the entertainment industry. Here’s what happened to Sallie Krawcheck.

“What you really need are computer geniuses who failed as algorithmic traders and are willing to switch sides,” said Brad Bennett, who was head of enforcement at the Financial Industry Regulatory Authority until earlier this year.

Robert Jackson Jr., one of the nominees to SEC commissioner, told a senate committee the SEC should take a “prominent oversight role” over the SRO.