So-called 'bad boy' provision still under discussion, says Texas regulator; definition of 'accredited investor' also said to be on the table
Don't blame state regulators for the financial crisis; blame those who took power away from state regulators.
To avoid future panics in money market funds, the mutual fund industry is calling on federal regulators to force broker-dealers to disclose information about their money fund clients.
It's been slow in coming, but the mutual fund industry is finally beginning to offer specifics about the type of backstop it wants to set up for money market funds.
Is it truly worth the time and effort to build a 401(k) practice — or expand your existing one?
Then: Brokerage commissions for trades were high with a client routinely paying more than $1,000 for a large equity transaction.
Some of the broker-dealers that sold allegedly fraudulent private placements appear to have allowed their net-capital positions to fall dangerously low, a situation that could threaten their existence if they have to pay large legal claims.
Edward Jones is tops and Morgan Stanley Smith Barney LLC the worst in terms of financial adviser satisfaction at six national broker-dealers, according to a J.D. Power and Associates Survey released last Friday
A new rule aimed at making the financial advisory business more understandable to clients is giving advisers a headache.
Participants in some 401(k) retirement plans managed by Vanguard Group Inc. now have access to advice from certified financial planners.
At this time of year, investment stewards — retirement plan sponsors, and managers and trustees of charitable organization investment committees — are receiving 2010 year-end investment performance reports and poring over them to prepare for their first 2011 meetings with their advisers and money managers
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
The Securities and Exchange Commission is unlikely to see its budget increased over the next couple months as it continues to implement Dodd-Frank.
Like automobiles, the future of long-term-care insurance may lie in hybrids.
The Securities and Exchange Commission is holding off forming several new departments required under the Dodd-Frank financial reform law.
MetLife Inc., the largest U.S. life insurer, will halt the sale of new long-term care coverage after citing “financial challenges” in the business.
The disclosure that Mary Schapiro received nearly $9 million last year when she left her post as Finra's chief executive to become chairman of the Securities and Exchange Commission was greeted with outrage by brokerage industry participants last week.
