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OPINION JUN 03, 2012
Facebook lessons learned

The Facebook IPO flameout carries both healthy and unhealthy lessons for the investment community.

By MFXFeeder
ALTERNATIVES JUN 03, 2012
SEC: Firm lied about execs' 'skin in game'

By Liz Skinner
REGULATION AND LEGISLATION JUN 03, 2012
FSI goes with 'devil we know' in oversight of advisers

By Mark Schoeff Jr.
REGULATION AND LEGISLATION JUN 03, 2012
Two Provident execs hit with fines, bans

By Bruce Kelly
Financial adviser ordered to turn over $1.2M in stolen 401(k) assets
REGULATION AND LEGISLATION JUN 01, 2012
Financial adviser ordered to turn over $1.2M in stolen 401(k) assets

Judge orders repayment in suit filed by the Labor Department

By Darla Mercado
The dull side of DFA
FIXED INCOME JUN 01, 2012
The dull side of DFA

In bonds, staying cool by acknowledging that boring is better

By JKEPHART
INDUSTRY NEWS JUN 01, 2012
More skin in the game

Morgan Stanley executives announced plans to up the company's stake in Morgan Stanley Smith Barney. What this means for MS's credit rating -- well, that's still unclear.

By John Goff
RIAS JUN 01, 2012
Washington Wealth CEO steps down

Anthony Sirianni, one of the founders of Washington Wealth Management, has left the firm.

By DJAMIESON
Gold drops 6% in May on Europe's woes
INDUSTRY NEWS JUN 01, 2012
Gold drops 6% in May on Europe's woes

Europe's fiscal crisis leads to gold's worst monthly run in 11 years

By Doug Cubberley
INDUSTRY NEWS JUN 01, 2012
Why the Eurozone spells trouble for U.S.

By Jeff Benjamin
'Targets on their back,' wealthy turning to trusts
RETIREMENT PLANNING JUN 01, 2012
'Targets on their back,' wealthy turning to trusts

Shielding assets now a prime concern of the rich; different states, different rules

By Bloomberg
D-Day: Hearing for controversial SRO plan set for June 6
RIAS JUN 01, 2012
D-Day: Hearing for controversial SRO plan set for June 6

Bachus bill to be discussed in front of house panel; sides already lining up

By Liz Skinner
RIAS JUN 01, 2012
Client churn a royal pain? Seek a niche

Affinity practice best bet to retain book of business; whole lot of jumping going on

By LKUYKENDALL
REGULATION AND LEGISLATION JUN 01, 2012
Lobbyists redouble efforts as SRO bill heads to vote

By Mark Schoeff Jr.
WIREHOUSES JUN 01, 2012
New wirehouse math: Inside the numbers

By Bloomberg
Influential Democrat latest to oppose SRO bill
RIAS JUN 01, 2012
Influential Democrat latest to oppose SRO bill

Waters says she's against Bachus bill; supports bulked-up SEC oversight Mark Schoeff Jr.

By Mark Schoeff Jr.
Opponents of SRO incensed by Bachus bill
REGULATION AND LEGISLATION JUN 01, 2012
Opponents of SRO incensed by Bachus bill

State regulators angered by 'astonishing attack...on federalism'; some claim measure paves the way for Finra oversight

By Mark Schoeff Jr.
RIAS JUN 01, 2012
Schwab to cut the ribbon on its third franchise office

Brokerage aiming to have ten such branch outfits in operation by end of year

By DJAMIESON
Bachus bill backs SRO for RIAs — and it could be Finra
INDUSTRY NEWS JUN 01, 2012
Bachus bill backs SRO for RIAs — and it could be Finra

On Wednesday, Rep. Spencer Bachus introduced his long-awaited bill that would establish at least one self-regulatory organization for investment advisers. The real question: Will it be Finra? The answer: It's looking more and more likely.

By Mark Schoeff Jr.
Schwab nabs Putnam's Carney as branch network boss
RIAS JUN 01, 2012
Schwab nabs Putnam's Carney as branch network boss

Schwab nabs new branch network boss in Jeffrey Carney

By Dan Jamieson