Practice Management

The testimony before the Senate Committee on Banking, Housing and Urban Affairs is likely to be Clayton's final appearance in Congress before leaving his role as SEC chair by year-end.

The small stuff is the big stuff when it comes to intraoffice relationships.

The Labor Department's potential fiduciary exemption faces review by an incoming Biden administration if it is not published in its final form 60 days before the inauguration.

The new feature, called Your Episodes, is Spotify's latest attempt at making the growing universe of podcasts easier to navigate.

The incoming Biden administration is discussing Gary Gensler and Preet Bharara as possible replacements.

The letters are meant to help CFP professionals meet the duties for providing information to clients as required by the board's Code of Ethics and Standards of Conduct.

The cases against the investment advisory firms marked the first from the Enforcement Division's Exchange-Traded Products Initiative.

John Stumpf, who retired in 2016 after the bank’s deceptions came to light, agreed to pay a $2.5 million fine to settle the allegations.