Plan sponsors should be able to send retirement plan info to employees digitally without getting permission, industry groups argue
DOL's latest start date — Jan. 1 — still too soon, industry group contends
Phyllis Borzi has come a long way since her days as a high school English teacher.
Putting an end to a bitter dispute over the sale of failed private placements, Securities America Inc. has agreed to make whole 63 Massachusetts clients who bought $5 million of failed notes issued by Medical Capital Holdings Inc.
Top universities are said to be soliciting applicants who have little chance of getting admitted. The reason? Critics say it's to generate both cash and buzz.
Financial adviser turnover at the four wirehouses — Morgan Stanley Smith Barney LLC, Bank of America Merrill Lynch, UBS AG and Wells Fargo & Co. — dropped to near-historic lows over the past 12 months
Unit reports nearly eight-fold increase in pretax earnings; rich clients finally returning in force
Finra president Richard Ketchum says brokerages must make certain reps understand how complex financial instruments work -- before hawking them to clients.
Regulator claims marketing material produced by B-D was misleading; settlement reached
Industry regulator shelled out more than $300K in first quarter; entire financial industry spending big bucks bending ears
Brokers are up in arms about what they say is an increasing number of fines for innocent trade-reporting errors.
Respondents to the recent <i>InvestmentNews</i> RIA Technology Study overwhelmingly (95%) rated technology as either “critical” or “absolutely critical” to the success of their business
Neuberger Berman Group LLC, a money manager that was part of Lehman Brothers Holdings Inc., was ordered by an industry regulator to pay about $4 million to three clients who bought structured notes backed by the failed investment bank
Who uses which technology products and are they satisfied? Where is adviser technology going?
Creditors left holding the bag after Jefferson County goes bust; 'catastrophic mistake'
California eyes selling muni debt in $25 denominations; lower buy-in designed to attract more investors
After S&P lowered ratings on thousands of municipal bonds earlier in the week, traders braced for a massive selloff. They're still waiting.
MSRB warns against price manipulation in the wake of possible credit downgrades
HMOs, even Apple undervalued, fund manager says; mess in Washington will get straightened out
