Registered investment advisers still looking to submit the new ADV Part 2 forms can take solace in the fact that there are some free and low-cost options out there to help complete that arduous task
Home loan giant Wells Fargo & Co. has agreed to pay $11.2 million to settle federal securities charges involving mortgage-based investments that Wachovia Capital Markets LLC sold to the Zuni American Indian tribe and other investors
Bank risk managers appear to be a bit more optimistic about the economy than they were 10 months ago, but most still expect mortgage and home equity loan delinquencies to stay the same or rise in the near term, according to a recent survey
Officials forced to go virtual rather than show up in person; plenty of glitches
Increasingly, e-mail blunders are coming back to bite financial advisers and the firms they work for
Jefferies Group Inc. (JEF) agreed to pay about $2 million to resolve Financial Industry Regulatory Authority claims that three employees failed to disclose conflicts of interest while selling auction-rate securities.
Regulator said James J. Konaxis churned victim's accounts, earning about $550K in commissions. l
National Securities receives notice of imminent enforcement action; scrutiny likely stems from sale of Provident Royalties notes
U.S. millionaires would face an annual income tax increase of at least 10% under a deficit reduction measure proposed by Rep. Jan Schakowsky, R-Ill
Taxpayers still need to file by April 18 — even if federal government's gone fishin'
The mutual fund industry will be one of the targets of more-aggressive enforcement by the SEC, according to experts who spoke last week at an Investment Company Institute conference
The BlackBerry PlayBook tablet is a solid device, both in general terms and in the engineering of its hardware
New offering by Actiance Socialite allows brokerages, advisory firms to Tweet without fear
Thousands of financial advisers are running late in meeting the SEC's March 31st deadline for submitting their ADV 2 forms, a post-Madoff rule requiring plain English disclosure of their business. Need some quick tips? <i>InvestmentNews'</i> Liz Skinner and others weigh in.
Research in Motion Ltd., the maker of the ubiquitous BlackBerry, last week finally announced an arrival date for its much ballyhooed PlayBook tablet: April 19
The BofA-Merrill boss sounds set to take on recruiters, the threat of the rising RIA model, and anyone else who steps in her path
