The SEC’s new quarterly reporting rules could help make private funds far more accessible to retail investors. But they are a huge task to implement.

The teams are leaving J.P. Morgan Wealth Management to join Bank of America Merrill Lynch and Citizens Bank.

The commission's latest risk alert concerning the ad rule is the second since registrants were required to be in compliance.

Caz Craffy faces 20 years in prison for using his position as an Army Financial Counselor to invest survivors’ benefits in firms where he worked, according to the DOJ.

Fidelity says deals are down 29% from a year ago, but the amount of assets transacted rose by nearly the same percentage.

Edelman Financial Engines is fighting Mariner’s motion to dismiss its lawsuit. In a new filing, Edelman argues that Mariner gets “free rides” off of its competitors.

Monaco Capital and Saling Simms have become the second and third firms to join Steward Partners’ new Legacy Division, established via acquisition late last year.

Verdence/RIA+ will continue to offer outsourced investment management, with added services around succession, compliance and more.

Taimur Baig’s move to Raymond James from Morgan Stanley is the latest of several teams joining the firm’s employee advisor channel from the wirehouse this year.