Edward Jones announced that its latest attempt to establish a bank has been approved.

In an industry in which the typical financial advisor is in their 50s or 60s, with eyes on retirement, the Manhattan-based Taylor Group of Morgan Stanley can best be described as young and hungry.

Private equity's push into 401 (k) plans has been steady and persistent, and — regardless of whether retirement savers and the gatekeepers between them and the providers want such investment options — ...

Although JPMorgan Chase dropped convicted sex offender Jeffrey Epstein in 2013, two of its managing directors kept ties with the disgraced financier, tapping his help to pitch business to Apollo ...

The Department of Labor has proposed a rule that would preserve independent-contractor status for many independent financial advisors affiliated with independent broker-dealers.

Last year set more merger and acquisition records in the registered investment advisory space as firms narrowed their focus to build out their offerings, according to a new report from Fidelity.

The National Association of Insurance and Financial Advisors is arguing that the so-called "Trump Accounts" program, which in its first three years aims to set up newly born American children with a ...

Shannon Eusey, who co-founded registered investment advisory firm Beacon Pointe Advisors more than two decades ago, has stepped down from her role as the firm's chief executive officer. Beacon Pointe ...

Shannon Eusey, who co-founded registered investment advisory firm Beacon Pointe Advisors more than two decades ago, has stepped down from her role as the firm's chief executive officer. Beacon Pointe ...

The Commodity Futures Trading Commission is reasserting its claim to be the only regulator with the power to police prediction markets, which let customers bet on outcomes of everything from sporting ...

Wells Fargo 's Wealth and Investment Management division has established a new leadership role to drive growth within the firm's independent channels, the firm said Wednesday in a press release.

The North American Securities Administrators Association has asked the Senate to rework certain points of proposed legislation around tokenized securities and ensure states' regulatory role in the ...