Bloomberg

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INDEPENDENT BROKER DEALERS APR 07, 2011
Jefferies pays $2M to resolve Finra claims over brokers' disclosures

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.

Next big move for S&P 500 is down, Sierra's Wright says
RIA NEWS APR 07, 2011
Next big move for S&P 500 is down, Sierra's Wright says

Fund manager believes 15% plunge may be coming; a recession, to boot

Top tax rate would go sky-high under new proposal
LIFE INSURANCE AND ANNUITIES APR 07, 2011
Top tax rate would go sky-high under new proposal

Rep. Schakowsky want big increase in marginal rates for millionaires, billionaires

LIFE INSURANCE AND ANNUITIES APR 06, 2011
Top tax rate would go sky-high under new proposal

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

RIA NEWS APR 05, 2011
Higher earnings are creating a dividend bonanza

Record earnings fueled by the highest profit margins since 1993 are giving executives more leeway than ever to boost dividends as the bull market enters its third year

BlackRock to take wraps off wraps for retail advisers
ETFS APR 05, 2011
BlackRock to take wraps off wraps for retail advisers

Asset manager set to launch customized programs for broker-dealers

REGULATION AND LEGISLATION APR 03, 2011
Consumer protection cop jabs back at GOP critics

Elizabeth Warren, the Obama administration adviser assigned to set up the Consumer Financial Protection Bureau, said that lawmakers looking to limit the agency's authority should focus instead on the Wall Street “behemoths” aiming to undermine its mission

REGULATION AND LEGISLATION APR 01, 2011

PRACTICE MANAGEMENT APR 01, 2011
Advisory firm values slip; big buying small

For the first time in up to a decade, the average sale price of an advisory business fell last year, according to two separate studies.

ICI big knocks proposals that 'ignore basic facts' about fund industry
MUTUAL FUNDS MAR 30, 2011
ICI big knocks proposals that 'ignore basic facts' about fund industry

McMillan also bemoans pace of reform, saying firms still not sure if they'll be deemed too big too fail