SEC Chairman Mary Schapiro's comments on Thursday that all financial advisers who provide personalized advice should come under “meaningful” fiduciary standards has drawn heat from a group representing state securities regulators.
State securities regulators are pushing to get House support for legislation allowing states to have greater oversight over private-placement offerings.
A new technology center focused on financial planning was dedicated at the Texas Tech University College of Human Sciences.
Thirtysomething new-product developers, look out.
The former president of a small community bank has become the first person ever charged with trying to defraud the bailout program.
A former executive at UBS has agreed to pay nearly $2.8 million to settle civil insider trading allegations made by New York state regulators.
President Barack Obama is going to the heart of Wall Street on the first anniversary of Lehman Brothers' collapse to outline changes needed to prevent a future crisis like the one that sent the global economy into a tailspin last year.
The good news? The online brokerage added 7,761 net brokerage accounts in February. The bad? Daily average revenue trades fell by 20%
The temporary suspension of the estate tax is not spurring high-net-worth Americans to take action on their estate plans.
Wall Street firms 'doing God's work?' Apparently not, as a religious group confronts banks over 'immorality' of swaps
