U.S. Senate Democrats are proposing to use a 3.25 percent surtax on income over $1 million to pay for extending and expanding a payroll tax cut, setting up a test vote as early as this week.
DOL's Borzi says agency looking at third-party payments; not backing off fiduciary update, either
A fervent outcry from a wide range of financial industry groups and bipartisan lawmakers helped persuade the Labor Department to withdraw a proposed rule to expand the definition of “fiduciary” for advisers to retirement plans
A fervent outcry from a wide range of financial industry groups and bipartisan lawmakers helped persuade the Labor Department to withdraw a proposed rule that would expand the definition of fiduciary for advisers to retirement plans.
Commission on a mission, goes after Chicago firm for allegedly 'grossly exaggerating' assets under management
Love it or hate it, New York elicits strong opinions from just about everyone.
Despite is reputation for gray skies, Seattle has weathered the nation's economic storm better than most of the U.S. That fact, combined with the area's recreational opportunities and quality of life, makes some financial advisers who live and work there pretty satisfied.
St. Louis might be brushed off as flyover country by some coast-to-coast travelers, but it has become the final destination for many financial advisers.
Three investment advisory firms agreed to pay a total of $262,000 to settle Securities and Exchange Commission allegations that they failed to put in place and implement required compliance procedures.
An online dashboard created by Fidelity Institutional Wealth Services allows RIAs to compare themselves to their peers.
Employee at fund firm reportedly to be charged this month; traders at two research firms also under investigation
Skowron apologizes for insider trading, saying he had 'slipped into the world of relativism'; slips into an orange jumpsuit in January
NASAA worried that legislation could put investors at risk
A reorganization of the SEC's enforcement division is starting to pay off with some high-profile cases, and agency executives promise that many more are in the pipeline
Richard J. Holwell and Jed Rakoff, U.S. District Court judges for the Southern District of New York, deserve our praise.
NASAA says current legislation could put investors at risk for fraud; GOP, Dems, White House all back the bill
Supercommittee notion of doing away with exemption not so super; going down the Whitney path
Herstein worried that easing of rules governing web-based raising of capital will lead to fraud
