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Investment advisers stopped legislation last year that would establish a self-regulatory organization to oversee them by making their presence felt on Capitol Hill. They're keeping it up this year.
Market strategist turned adviser says many similarities today to early '80s bull.
Kicker Russell Erxleben allegedly made false promises about WWI German bearer bonds and a Paul Gauguin painting
Stifel Financial Corp. is in exclusive talks to buy Regions Financial Corp.'s Morgan Keegan brokerage after prevailing over private-equity bidders, said people with knowledge of the matter.
Stifel Financial Corp., which increased its brokerage force by 23% in the past year, won't be as buffeted as many analysts expect if regulators impose a fiduciary standard on brokers, the company's chief executive said today.
Executives at Genworth Financial took another step in their downsizing with the announcement of the much-anticipated sale of its wealth management unit. Who bought it? Darla Mercado has the details.
After receiving a fair amount of negative comments from reps, Finra is backtracking on its plan to end the 5% markup rule.
Brokerage rolling out several programs to reach young advisers
Rep.'s attacks on Obama's 'twist of terms' feature some twists of his own
S&P lowers rating on insurer to lowest investment-grade level
Carrier to suspend sale of lifetime benefits, 10-pay versions of product; changes to kick in July 29
Speaking at TD Ameritrade's annual conference, security experts said unsecured servers and lame passwords are putting advisers' clients at risk
New Year's Eve legislation that averted trillions of dollars of automatic tax increases and spending cuts was brimming with provisions that permanently extended many Bush administration tax cuts. What was missing, however, was language that provided direction on comprehensive tax reform. All kinds of ideas are filling the void.
it is understandable when people rely on simple retirement maxims to get past their insecurities and fears. Unfortunately, those adages are often a poor fit.
Finra is seeking comments on its controversial bonus disclosure plan. Don't expect any love letters.
Fingers crossed for product enhancements, ratings upgrades.
Moody's lowers financial strength grade for Aviva Life; third reduction in three months
