The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Group touting the virtues of pre-paid tuition program that locks in rates at non-state schools
Looking beyond the technology-centric U.S. market is key to building a solidly diversified portfolio of tech stocks, according to Ian Warmerdam, manager of the $300 million Henderson Global Technology Fund.
More so than most other legislation, the 849-page Dodd-Frank Wall Street Reform and Consumer Protection Act reached the president's desk on July 21, 2010, as a work in progress.
Regulator claims outfit never bought single life settlement policy but sold debentures using the firm's name
In a move that could affect the sales of securities and insurance in the state, Iowa's insurance regulator this week is expected to issue guidance on how far insurance agents and brokers can go in advising clients on the suitable sources of funds for insurance products
Annuity exam overload, including extra training, could prompt some advisers to limit customer choice.
Bill should be good news for FAs who work with state and federal agencies; FSI lauds passage
The bad news: the hike for retirement plan kick-ins is puny, while the estate tax exclusion plummets next year
Citing costs, government pulls plug on controversial long-term-care insurance plan; 'we're right where we have been operating'
Bruce Wasserstein, dead for two years, still casts a pall over the Rogue River Valley of southern Oregon, home of Harry & David Holdings Inc.
Investor Phillip Frost, the largest shareholder in, and chairman of, Ladenburg Thalmann Financial Services Inc., issued a challenge Friday to the independent-brokerage business, saying that his firm's plans to expand are second to none
Sponsors of legislation that would limit on the federal levy on investment income at 15% are confident of strong support in the House. The Senate is another matter, however.
Forecast returns built into most retirement tools no longer valid, experts say; 8% is history
The regulator wants to ban from its arbitration forums so called “collective action” claims brought under the Fair Labor Standards Act or the Age Discrimination in Employment Act.
A team of regulators charged with preventing another financial crisis is fending off criticism it's moving too slowly to identify the firms whose failure could pose a threat to the economy.
