The Securities and Exchange Commission will reopen the comment period for its shareholder director nomination proposal.
Scott DeFife, senior managing director of government affairs at the Securities Industry and Financial Markets Association, is leaving to take a job at the National Restaurant Association.
Administration officials and members of Congress fret that banks aren't lending enough, and that companies aren't hiring enough, to reduce unemployment significantly and get the economy moving again.
Strategic Point Investment Advisors LLC, a wealth management firm that was one of the original affiliates of Focus Financial Partners, has sued the company to get access to its financial data.
Before being elected to the Senate, Herb Kohl ran his family's grocery and department store business.
Denise Voigt Crawford is fighting the war for the states.
House Financial Services Committee Chairman Barney Frank, D-Mass., gets most of the attention on banking and securities issues, but the committee's second-ranking Democrat, Rep. Paul Kanjorski, is the one handling the issues most important to financial advisers.
With representatives from nearly 200 countries hunkering down this week in Copenhagen, Denmark, for the Summit on Climate Change, the tendency to dwell on Earth-saving causes and carbon footprints is understandable and even noble.
After questioning the underpinnings of Jeremy Siegel's “stocks for the long run” fame in 2009, Lubos Pastor may spend next year poking holes in the message of Burton Malkiel.
Sen. Christopher Dodd has his own reasons for pushing hard for financial services reform next year.
In these nail-biting times, advisers need to know who the big shots are.
Advisers who grapple with the complexities of retirement income will be getting more help next year from Moshe Milevsky, an associate professor of finance at York University in Toronto and executive director of the Individual Finance and Insurance Decisions Centre.
Financial advisers see “Finra” plastered across SEC Chairman Mary Schapiro's forehead, and it makes them nervous.
J. Mark Iwry is the quarterback of the Obama administration's retirement policy team, but he'll play offense, defense and for the other side when it comes to his mission: to find new ways to help Americans save.
A leading securities regulator for the lion's share of his career, Finra chairman and chief executive Richard Ketchum is poised to oversee one of the most significant day-to-day changes most registered representatives will ever experience.
The mutual fund industry's Holy Grail is a fund that can provide investors with a guaranteed stream of income without tying up the client's money in an annuity.
The tough economic environment has forced many older Americans into a “recession lifestyle,” in which they're slashing spending and making other sacrifices in order to make ends meet, a new survey has found.
Stocks rose Friday after a report on retail sales indicated consumers are picking up their spending.
Morningstar Inc., a provider of investment research, said Friday it has agreed to buy Logical Information Machines Inc. for $51.5 million.
U.S. stock futures rose Friday, following overseas markets higher on a report that China's exports improved.
