RBC is facing a lawsuit from a former financial advisor who claims that a male supervisor harassed her when she refused to travel during a difficult pregnancy and that the firm responded to her ...

Some Securities and Exchange Commission officials aren't comfortable with a new push by the Department of Government Efficiency into the commission's policy regarding blank-check companies and ...

The Financial Services Institute has asked a New Jersey government agency to reconsider a proposed rule the industry group says would push nearly one in five of the state's independent financial ...

LPL Financial announced that it has named a former Fidelity Investments executive to lead its banking and lending capabilities. Choreo has recruited a wealth management executive who was most recently ...

LPL Financial announced that it has named a former Fidelity Investments executive to lead its banking and lending capabilities. Choreo has recruited a wealth management executive who was most recently ...

President Donald Trump 's $3.3 trillion tax and spending package remains in limbo as Senate Republican leaders race to convince some of their fellow party members who are opposed to the bill, ...

This story originally ran on Financial Advisor IQ sister publication FundFire.

The Financial Industry Regulatory Authority is reviving plans to allow broker-dealers and investment advisors to present projected performance in their communications with the public, expanding an ...

Without further action from the U.S. Congress, the annual cost of maintaining the Social Security program will outpace its total annual income again this year — and most of the funds for the program ...

Envestnet has entered into a definitive agreement to sell its data-aggregation subsidiary Yodlee, capping off years of speculation that the long-struggling business unit was on the block.

RBC Wealth Management announced that it has added a financial advisor team from UBS, where it had about $1.1 billion in client assets. Raymond James announced that it has added a financial advisor ...

In response to the "continuing trend of the RIA-ization" of the wealth management industry, Cetera Financial Group is appealing directly to registered investment advisors, according to Chief Executive ...