Broker-dealers, get ready. Your back-office operations are now officially on Finra's front burner
City-state has highest percentage of millionaire households; China now No.3 in total number of millionaire households
But industry participants disagree over which regulator should get the gig; protracted debate expected
The following is an edited transcript of the webcast “Key Findings of the <i>InvestmentNews</i> RIA Technology Study,” which was held May 5
As House Republicans begin to move legislation this week that would roll back parts of the Dodd-Frank financial reform law, a prominent Senate Democrat indicated today that he will fight efforts to scuttle or delay implementation.
BrightScope Inc. has launched a free online service that will allow investors to look up financial advisers
But uncertainty remains, as latest deal only runs through Friday; commission still facing budget ax
Mutual fund companies are bracing for the expected passage this month of a proposed Securities and Exchange Commission rule that they say would completely undermine their internal compliance processes
Payment to the Bayou State marks third such settlement for the insurer in less than two months
Despite the fact that investors have lost billions of dollars in private placements that have blown up in recent years, the SEC last week said that it is looking to relax rules that regulate the marketing and sale of these offerings
Given the welter of compliance issues that they face, financial advisers remain understandably cautious about using social media.
The impasse on Capitol Hill over the federal budget may give more ammunition to proponents of establishing a self-regulatory organization for investment advisers.
Gregory Vaughan has the demeanor of your favorite college professor — accessible, attentive and humble
Advent Software Inc.'s announced $73 million deal for Black Diamond Performance Reporting LLC is the biggest news in portfolio management and performance reporting in years
Workers often leave 401(k) accounts with former employers for no good reason, survey finds; advisers missing a trick
Financial advisers and broker-dealers apparently aren't sitting on the sidelines waiting for Finra and the SEC to figure out how the financial advisory industry should use social networking
