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Political bickering aside, the health care sector is a healthy investment

December 5, 2014

The seemingly endless political bickering over health care reform has not dampened investor enthusiasm for the sector, which is leading all stock categories this year, up 24%. “Health care has been kicking tush, and most of my clients want...

Ketchum: What this industry is missing when it comes to CARDS

December 5, 2014

Finra must demonstrate how its controversial data-collection system will benefit investors in order to quell mounting criticism of the proposal, the organization's leader said Friday. “We think the benefits are absolutely obvious, but we recognize...

Financial adviser, and Teddy bear collector, goes to prison for fraud

December 4, 2014

Financial adviser and former New York Islanders co-owner gets 10 years in the big penalty box for major financial fraud. He'll have lots of time in prison to ponder whether the pricey Teddy bear collection was worth it. 'He certainly did not...

Senate expected to pass 'bare minimum' tax extender bill

December 4, 2014

The House of Representatives has voted to revive dozens of lapsed U.S. tax breaks only for 2014 and the Senate now looks likely to follow suit within days. The plan achieves what lawmakers called the bare minimum package needed to avoid delaying...

Key House Republicans bash SEC exam user fee idea

December 3, 2014

Renewed opposition by two leading House Republicans to the idea of letting the Securities and Exchange Commission charge investment advisers for their examinations signals long odds for user-fee legislation next year. House Financial Services...

Broker-dealers hold fate of new active ETFs

December 3, 2014

After a multiyear push and stiff competition, a product that backers want eventually to replace mutual funds won final approval from securities regulators this week. That was the easy part. With its long-coveted approval order in hand, Eaton...

SEC: Former alts B-D owner defrauded investors of $900K in stock scam

December 3, 2014

The owner of a defunct broker-dealer wholesaler of illiquid alternative investments has been sued by the Securities and Exchange Commission for allegedly defrauding investors of $900,000 in a stock scam. The SEC on Tuesday sued Vinay Kumar Nevatia,...

Advisers ramping up discussions with legislators, regulators on key issues

December 3, 2014

With the midterm elections hanging over the national political landscape for most of this year, it's no secret that very little significant legislation was passed at the federal level in 2014. Rather than waiting for the dust to settle, though,...

Accountants, advisers cautious on strategies as tax breaks remain elusive

December 2, 2014

With four weeks left in the year, tax experts aren't taking any chances on Congress arriving at a bill that will preserve the most popular tax breaks for clients. Accountants and advisers have been awaiting the fate of some notable tax breaks...

Why it's up to the industry to solve the fiduciary standard issue

December 2, 2014

HighTower Advisors CEO Elliot Weissbluth discusses how financial advisers and clients will ultimately be the ones to navigate through this key transition.

FSI warns of 'false positives' under CARDS

December 1, 2014

An organization representing independent broker-dealers doesn't want Finra to include analysis of the suitability of investments in its proposed CARDS data-collection system and warned that the system would impose significant costs on its members....

Nicholas Schorsch steps back from some nontraded REITs

December 1, 2014

Nontraded real estate investment trust czar Nicholas Schorsch is taking a step back from his various top roles of the nontraded REITs he controls, handing the reins of two of them to his longtime investment partner, William Kahane. In filings...

SIFMA invokes fear of cyberterrorists in plea to fold CARDS

December 1, 2014

An influential Wall Street interest group told Finra on Monday to withdraw its proposal for a massive customer-data-collection system. In a Dec. 1 comment letter, the Securities Industry and Financial Markets Association said the Financial Industry...

DOL still planning fiduciary proposal for January

November 26, 2014

The Department of Labor will propose a new fiduciary rule in January 2015, according to an updated regulatory agenda issued by the Office of Management and Budget. Now officially called the “conflict of interest rule for investment advice,”...

Mutual funds to face new rules from SEC on portfolio holdings

November 25, 2014

U.S. regulators may limit how much mutual funds can invest in hard-to-sell assets and use derivatives to boost returns, as concerns mount over firms' ability to unwind positions in times of financial stress. The Securities and Exchange Commission...

Citigroup fined $15 million for analyst supervisory failures

November 24, 2014

Citigroup Inc. (C), the third-biggest U.S. bank, was fined $15 million by the Financial Industry Regulatory Authority for failing to supervise research analysts and their handling of material non-public information. The lender didn't adequately...

DOL to review documents in 401(k) excessive fee suit

November 21, 2014

The U.S. District Court for the Central District of California is allowing, in part, a motion for the Department of Labor to intervene in a 401(k) excessive fee lawsuit against defense contractor Northrop Grumman. On Nov. 18, the court gave...

SEC's Daniel Gallagher questions need to revise accredited-investor standard

November 20, 2014

As the Securities and Exchange Commission mulls whether to change the qualifications for who is eligible to buy unregistered securities, one of the agency's members said Thursday it should drop the effort. “This obsession with 'protecting'...

Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud

November 19, 2014

Top financial regulators are teaming up to offer investors a one-stop online location where they can research the background of financial advisers and learn about financial fraud. On Wednesday, the Commodity Futures Trading Commission launched...

SEC keeps fiduciary promises vague for 2015

November 18, 2014

The Securities and Exchange Commission is not forecasting much activity over the next year on the issue of raising investment-advice standards for brokers, while it is trying to eke out more examinations of registered advisers, according to...

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