Latest News

SEC member leans against fiduciary-duty rule

Sep 30, 2014

Piwowar indicates a preference for enhanced disclosure.

SEC signs off on Finra arbitration fee increases

Sep 30, 2014

Agency approves Finra's proposal to boost fees on larger claims in order to better pay the roughly 6,300 arbitrators

Renaissance to launch international version of IPO ETF

Sep 30, 2014

Just a year after launching the Renaissance IPO ETF, the public-stock-offering research and data-tracking firm is coming out with an international IPO fund.

Advisers wary of keeping client assets at Pimco

Sep 30, 2014

While some financial professionals say Bill Gross' exit is the final straw, and others exited long ago — some are staying put.

IPO markets don't need Alibaba for best quarter since 2010

Sep 30, 2014

Companies raised $41.8 billion in three-month period ended Sept. 30.

Finra proposes CARDS rule, marking next step in long journey of controversial program

Sep 30, 2014

Regulator's executive also discusses plans for broker bonus rule and IRA rollover allowances.

CRM startup Wealthbox earns financial backing from serial entrepreneur Steve Lockshin

Sep 30, 2014

Convergent Wealth Advisors chief also deploying the software for his new advisory firm.

Pimco flagship Total Return Fund loses top Morningstar rating

Sep 30, 2014

Research firm cites "uncertainty regarding outflows" and shuffled management as the reasons for downgrading Pimco's flagship fund.

Morgan Stanley wins back $3M bonus from insider trader

Sep 29, 2014

A Finra arbitration panel ordered Vladimir Eydelman to repay his former firm after he was fired in March amid charges of insider trading.

Brokers charged by state securities officials see prison time rise

Sep 29, 2014

Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.

RIA M&A deals picking up steam

Sep 29, 2014

Lot of discussions going on but commercial banks, insurance companies and international investors still on the sidelines.

First ETF to track emerging-markets real estate is launched

Sep 29, 2014

Guggenheim says the global rise of the middle class could yield returns for U.S. investors.

Why financial advisers still hate reverse mortgages

Sep 29, 2014

While a lifesaver for some clients, they remain a high-fee trap for many.

New Pimco Total Return bosses: “Bill Gross relied on us”

Sep 29, 2014

New three-person team at the world's largest bond fund says they can handle outflows and will rely on a similar strategy to the departed Bond King.

FSI offers long-term disability, life insurance to members

Sep 29, 2014

Program guarantees members coverage at a group rate FSI has secured as the plan sponsor.

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