Critics of short-selling practices they deem abusive are up in arms over what they say is continued inaction by the Securities and Exchange Commission.
The SEC can’t win for losing. As a result of judicial overrides of its major regulatory initiatives in the past year, the Securities and Exchange Commission is less likely to try bold new initiatives, experts on securities regulation say.
For the second consecutive year, the largest 25 independent-contractor broker-dealers saw top-line growth slow, even though it still was up by double digits.
A new firm is assisting insurance agents in becoming registered investment advisers so the agents can obtain fee income from advice and securities products.
NEW YORK — When veteran money manager James H. Huguet decided to bring to a broader audience the large-cap approach he uses for separately managed accounts, he decided to forgo creating a conventional mutual fund.
The mutual fund giant said that it has started offering 401(k) plans an online platform that participants can use to purchase annuities.
BOSTON — The Schwab Charitable Fund is nipping at the heels of the Vanguard Charitable Endowment Program as the nation’s second-largest donor-advised fund.
Courts and regulators will evaluate your effectiveness as an investment adviser against a process standard — as opposed to a performance standard.
OTTAWA — Two approaches for assessing mutual fund and hedge fund risk are moving forward in Canada.
IRVINE, Calif. — Smith Barney reps are supportive of the cost-cutting plan New York-based Citigroup Inc. announced April 11.
