Recently, the Tax Court ruled that a taxpayer's continuing business activities and lack of credible evidence failed to qualify him as disabled under the tax code
Suddenly, selling away is again a big concern for regulators and law enforcement agencies. In recent months, former reps at several marquee B-Ds have been investigated for allegedly peddling unapproved investments on the side. | <b>Extra </b><a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009998&Ref=PH>What top RIA execs earn</a>
Millions of investors are at risk of being defrauded because the SEC lacks the financial resources to do an adequate job of policing the advice business
Rich Lowrie serves as economic adviser to Herman Cain
Clients are crazy for annuities these days, but regulators have concerns. The top of the list? How carriers explain -- or fail to explain -- product features. | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20111011&Category=FREE&ArtNo=101109994&Ref=PH>Nine mistakes clients make with their insurance</a>
Traders are placing more bets than any time since 2009 that the CBOE's Volatility Index will fall, a sign they expect concern about Europe's credit crisis to recede and the Standard & Poor's 500 Index to rally.
The investment adviser's job has never been more difficult
Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued.
Investor Phillip Frost, the largest shareholder in and chairman of Ladenburg Thalmann Financial Services Inc., issued a challenge Friday to the independent-brokerage business, saying that the firm's plans to expand are second to none.
Rate of return to recoup loss greater than the loss itself
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Group touting the virtues of pre-paid tuition program that locks in rates at non-state schools
Number of RIAs down 1%; the good news: AUM up 13.7%
Parents who use Section 529 college savings plans are steadily outpacing those who don't use the tax-advantaged investments, according to a new survey by the College Savings Foundation
Hot October propels Total Return Fund up the performance ladder
Pimco bond king issues mea culpa to clients about fund's performance; 'new normal' too optimistic
Janjuah expects precipitious fall in large-cap index; earlier calamitous prediction didn't pan out
