The self-regulatory organization has recently changed its policy to allow people to access bulk data on firms, said FINRA President and CEO Robert Cook.

Many asset managers offer portfolio construction, analysis and practice-management services in addition to the funds they sell.

The Wall Street of the South has emptied out as the storm approaches.

Scott Wilson, who is currently running Grinnell College's endowment, will start at Washington University in December.

Americans feel more secure about retirement than they should, another financial-advisor Ponzi scheme, and geopolitics worry institutional investors more than a recession.

Tom Bradley, who has led TDA's retail distribution business since 2012, will leave after 31 years with the company.

“I wish more of my colleagues and more elected officials, quite frankly, have signed not just the back of a paycheck, but maybe the front of one,” Rep. Ann Wagner said.

The London-based bank is now focusing on the core countries of Argentina, Brazil, Chile and Mexico in Latin America.

Luis Aguilar, former commissioner at the Securities and Exchange Commission, expects the agency to move on a fiduciary standard, especially if the DOL rule stays in place.