A former district director of Finra's New York office has filed an age discrimination suit against the regulator, Reuters reported last week
The SEC conducted a flawed analysis to justify a $556.8 million lease for office space that turned out was largely unneeded.
David Becker, who quit as Securities and Exchange Commission general counsel before he was sued over inherited profits from Bernard Madoff's fraud, has rejoined the law firm where he worked before taking the SEC post.
Combined firms will have nearly $2.5B in assets under management
Former PM at New Star Asset Management suing fund firm's boss; 'angry, antagonistic and unpleasant'
White paper by Georgetown professor will broaden — and stir up — discussion, TD Ameritrade's Bradley predicts
Set-up is purportedly simpler, fairer and will lower everyone's taxes; it fails on all three counts
UBS AG, Switzerland's biggest bank, will pay $12 million to resolve Financial Industry Regulatory Authority claims that a brokerage unit allowed millions of short-sale orders to be placed without reasonable grounds to believe that the securities could be delivered.
'Portability' of unused exclusions only guaranteed if surviving spouse files estate tax return swiftly
Economic uncertainty is the key obstacle keeping advisers from expanding their businesses
The following is an edited version of a speech given by Richard G. Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc., Oct. 13 at the Security Traders Association's annual conference in Palm Beach, Fla.
Don't worry about a double dip, says Raymond James' chief investment strategist Jeff Saut.
State regulators and compliance experts are at odds about whether the states will be ready to take over regulatory responsibility for thousands of small investment advisers in March, some compliance experts said
After cutting back on hiring in the wake of the 2008 downturn, advisory firms are seeking fresh talent — partly to jump-start growth, which has slowed in the past year, and partly as a form of succession planning
Broker-dealers now have a low-cost way to clear their slate with the IRS if they have been misclassifying employees as independent contractors
SEC Commissioner Elisse Walter picked a tough crowd before which to try to drum up support for a draft SRO bill for investment advisers proposed by House Financial Services Committee Chairman Spencer Bachus.
Market turmoil usually slows job hopping by brokers and financial advisers, but RIA custody firms say that their pipelines are as full as ever — and they don't expect a slowdown soon
A draft of a bill that would establish a self-regulatory organization for investment advisers was released today by House Financial Services Committee Chairman Spencer Bachus, R-Ala., in advance of Tuesday's hearing by the House Capital Markets Subcommittee.
Insurance juggernaut MetLife Inc. will rein in its variable annuities, as second-quarter sales surged beyond analysts' expectations.
Along with jobs, raising taxes on the rich is one of things the Wall Street protesters feel strongly about, as Andrew Cuomo, the Democratic governor of New York, is learning all too well.
