The following is an edited version of a speech given by Richard G. Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc., Oct. 13 at the Security Traders Association's annual conference in Palm Beach, Fla.
Don't worry about a double dip, says Raymond James' chief investment strategist Jeff Saut.
State regulators and compliance experts are at odds about whether the states will be ready to take over regulatory responsibility for thousands of small investment advisers in March, some compliance experts said
Broker-dealers now have a low-cost way to clear their slate with the IRS if they have been misclassifying employees as independent contractors
SEC Commissioner Elisse Walter picked a tough crowd before which to try to drum up support for a draft SRO bill for investment advisers proposed by House Financial Services Committee Chairman Spencer Bachus.
A draft of a bill that would establish a self-regulatory organization for investment advisers was released today by House Financial Services Committee Chairman Spencer Bachus, R-Ala., in advance of Tuesday's hearing by the House Capital Markets Subcommittee.
Along with jobs, raising taxes on the rich is one of things the Wall Street protesters feel strongly about, as Andrew Cuomo, the Democratic governor of New York, is learning all too well.
Despite easing of refinancing standards, home loans still tough to come by
Shorris signs on with indie B-D; 'invaluable addition'
Onetime Barron's hotshot adviser files suit against firm; also suing local regulators, including new NASAA president
Two Florida men caused up to 20 broker-dealers $2 million in losses through an alleged scheme that involved an illegal “free-riding” scheme of selling stocks before they paid for them.
The National Association of Personal Financial Advisors, whose members consider their fee-based model to be the gold standard for unbiased advice, is worried that its reputation will be tarnished in light of a second high-profile investigation involving one of its former top officers
The Clare at Water Tower missed $229m payment this month
Controversial plan to expand definition yanked to allow more input, further economic analysis
In an effort to halt that regulation and persuade the department to start over, the Financial Services Institute is going over Ms. Borzi's head and her boss's head, Secretary of Labor Hilda Solis, to President Barack Obama.
Nassim Nicholas Taleb, author of the best-selling book “The Black Swan,” said the current global market turmoil is worse than it was in 2008 because countries such as the U.S. have larger sovereign-debt loads.
Salesforce.com has become a serious competitor in the customer relationship management market for financial advisers
Pessimistic mass-affluent, millionaire investors are putting more money in play
Survey finds mass-affluent investors still gloomy as heck about their finances; 'not matching the reality of their situation'
