In a FOIA request submitted in March, ASA asked the SEC to "produce all records," including calculations, standards, data and guidelines, that were considered in the handing out of penalties and other ...

An in-house ad agency and pre-packaged marketing materials are among the marketing resources Raymond James advisors can draw upon, according to the firm's chief marketing officer, Mike White.

JPMorgan has hired former UBS and Fidelity executives to positions in its wealth management business, according to a company spokesperson.

The U.S. stock market will continue growing in the second half of 2024 but not along the steep trajectory seen so far this year, Morgan Stanley's Lisa Shalett tells Bloomberg. Investor expectations ...

Morgan Stanley appealed the decision, arguing that pneumonitis was "not consistent with exposure that is attributable to his ...

The House Appropriations Committee has proposed cutting the SEC's budget by more than $144 million for 2025. The Securities ...

Merrill Lynch has lured a top executive from UBS for a leadership role in Connecticut, according to sources.

BNY Mellon announced that its Pershing X technology division has unveiled a series of upgrades to its wealth management platform Wove, including its first tool designed for investors.

Envestnet is adding direct-indexing strategies from BlackRock, Fidelity and State Street to its unified managed account platform, the company announced Wednesday. The managers are providing ...

DiPetrillo said the merged platforms resembles the model employed by BNY Mellon Advisors, formerly called Lockwood Advisors, ...

UBS Wealth Management has added a longtime Amundi executive as a market director in its Pacific Northwest region.

Dawn Nordberg is leaving Morgan Stanley in September. She will lead Citigroup's newly created "integrated client engagement" ...