When Republican members of the House Financial Services Committee warned the Securities and Exchange Commission to halt the process of fiduciary rule making, it was a pretty blatant signal that the stage has been set for a courtroom showdown
Exchange-traded funds make up a tiny fraction of the investments offered by 401(k) plans, but they could claim a larger share of the market as key providers add them to their platforms
Ken Norensberg, chief operating officer of Tritaurian Capital Inc., has won a contested small-firm seat on the Financial Industry Regulatory Authority Inc. board.
Interested in a seat on Finra's small firm advisory board or on one of its district committees? You have until Oct. 7 to submit a form to get your name on the ballot.
A congressional hearing next week that will delve into the issues of fiduciary duty and a self-regulatory organization for advisers also is likely to provide a platform to introduce an SRO bill — or at least an outline that could turn into a measure.
A report today showed that housing valuations remain mired in a horrific slump, with year-over-year prices still way down. Even when the market does bottom out, don't expert a rapid rebound.
Concerns over a possible default by Uncle Sam rippling the lakes of state issuers; five top-rated borrowers braced for possible downgrade
The bold new era of regulation that Congress laid out in the Dodd-Frank financial reform law has not arrived — at least not for financial advisers.
Even in the rocky world of technology investing, the debt ceiling debate has been an eye-opening experience.
Lobbying in favor of a self-regulatory organization for investment advisers has gained momentum, with a major insurance organization calling on Congress to authorize Finra the to do the job.
Lobbying in favor of a self-regulatory organization for investment advisers has gained momentum, with a major insurance organization calling on Congress to authorize Finra the to do the job.
President defends 'important changes,' nominates first head of consumer protection bureau; Republicans seek guarantees
Bill Gross, founder of Pacific Investment Management Co., said President Barack Obama's plan to stimulate the economy with more than $300 billion in tax cuts and spending is inadequate.
Allianz Global Investors on Tuesday announced restructuring effective Jan. 1 that will give PIMCO greater distribution independence and will more closely align the elements of Allianz's other business.
Warren E. Buffett's $5 billion vote of confidence in Bank of America Corp. last Thursday notwithstanding, Merrill Lynch advisers have been forced to reassure clients over the past few weeks that their parent company is not headed for insolvency.
Term premium at an all-time high, but investor confidence in economy at rock bottom; 'fear priced into yields'
For adviser Brian Fenn, the horrific events of 9/11 provided affirmation that he was on the right track with his planning practice
Despite the passage of 10 years and a move to another part of New York, the Sept. 11, 2001, terrorist attacks are never far from financial adviser Lewis J. Altfest's mind
Ten years hasn't diminished the vivid memories of 9/11 for Paul Schatz, president of Heritage Capital LLC, a $110 million advisory firm based in Woodbridge, Conn.
