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EQUITIES APR 26, 2012
In the age of Apple and Google, Nasdaq looks beyond tech stocks

On the day Apple further flexed its earnings muscle, Nasdaq wanted to remind investors that it is more than just a benchmark for technology stocks.

By Paul Menchaca
BROKER DEALERS APR 26, 2012
Regulators turn up the heat on branch office oversight

By DJAMIESON
RIAS APR 26, 2012
Why Ric Edelman is going private

Edelman Financial Group isn't big enough to develop the liquidity and attention of analysts needed for institutional investors to trade the stock, Edelman says.

By Dan Jamieson
Big deals back as RIA acquisitions surge
INDUSTRY NEWS APR 26, 2012
Big deals back as RIA acquisitions surge

Plenty of action, particularly on the breakaway front

By Lavonne Kuykendall
REGULATION AND LEGISLATION APR 26, 2012
Finra's risk survey ruffles B-D feathers

By DJAMIESON
Buffett's take on gold bugs State Street big
INDUSTRY NEWS APR 26, 2012
Buffett's take on gold bugs State Street big

Goolgasian says the Oracle missing the boat on bullion; 'can't fondle the cube'

By John Goff
Occupy Wall Street protester finds occupation on Wall Street — thanks to indie B-D
INDUSTRY NEWS APR 26, 2012
Occupy Wall Street protester finds occupation on Wall Street — thanks to indie B-D

John Thomas Financial spots, then hires unemployed Ph.D; 'ask me for my resume'

By Bruce Kelly
New stock index lets you invest in Occupy Wall Street
INDUSTRY NEWS APR 26, 2012
New stock index lets you invest in Occupy Wall Street

Limited to companies that have drawn the ire of protestors

By Jeff Benjamin
INDUSTRY NEWS APR 25, 2012
Pinnacle Partners expelled, president barred over alleged private placement fraud

A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements.

By DJAMIESON
Congress will kick tax can down the road: Valliere
REGULATION AND LEGISLATION APR 25, 2012
Congress will kick tax can down the road: Valliere

Believes Bush tax cuts will not be allowed to expire; 'mother' of uncertainty for investors

By Jeff Benjamin
Cost-benefit cudgel could spell the end for DOL's fiduciary proposal
RETIREMENT PLANNING APR 25, 2012
Cost-benefit cudgel could spell the end for DOL's fiduciary proposal

Opponents of a pending Department of Labor rule that would increase the standards for investment advice for retirement plans have insisted that the agency conduct a cost-benefit analysis before proposing a regulation. The difficulty the agency faces in satisfying critics was evident at an event in Washington on Tuesday.

By Mark Schoeff Jr.
RIAS APR 25, 2012
Fewer RIAs switching to state regulation

By DJAMIESON
INDUSTRY NEWS APR 25, 2012
It's bonus madness at MF Global

According to a plan being hatched by the overseers of the bankrupt MF Global Holdings Ltd., three of its highest-ranking executives would receive big bonuses to help with the process of winding down the firm.

By Mark Bruno
INDUSTRY NEWS APR 25, 2012
MF Global Holdings executives to get bonuses if court approves

The MF Global Holdings Ltd. executives who oversaw the company before it failed last year should get bonuses this year if a bankruptcy court approves, said Frank Piantidosi, an adviser working with the trustee, Louis Freeh.

By Bloomberg
GOP or Dem president best for stocks? It's not even close
INDUSTRY NEWS APR 25, 2012
GOP or Dem president best for stocks? It's not even close

Investors have fared far better under Democratic administrations; cause-and-effect or coincidence?

By John Goff
RIAS APR 25, 2012
SEC seeks more examiners, but SRO idea still looming

By Mark Schoeff Jr.
Trustee: MF Global coming up $1.6B short
REGULATION AND LEGISLATION APR 25, 2012
Trustee: MF Global coming up $1.6B short

Giddens sees large gap between what is owed to customers and what's in the till

By John Goff
SEC critic could be next chair of influential House committee
REGULATION AND LEGISLATION APR 25, 2012
SEC critic could be next chair of influential House committee

Bachus stepping down, Garrett a possible replacement; so what happens to an adviser SRO?

By Bloomberg
Wall Street and environs 'subsidizing the slackers in the rest of the country': NYU prof
REGULATION AND LEGISLATION APR 25, 2012
Wall Street and environs 'subsidizing the slackers in the rest of the country': NYU prof

Latest tax data shows metro NYC area paid 1.6% of all individual income taxes; 'most productive'

By John Goff
INDUSTRY NEWS APR 25, 2012
Occupy Wall Street draws mixed reactions from advisers

A majority of financial advisers don't support the Occupy Wall Street movement, but they are more evenly split when it comes to the broad themes espoused by the protesters: imposing higher taxes on the wealthy and tougher regulations on big banks

By Darla Mercado