Official calls economic analysis "robust," says process is completely transparent.
A House bill would require the Labor Dept. to coordinate with the SEC in devising a rejiggered standard. Some experts say such 'coordination' could spell the end of the department's plan. Here's why.
Tokyo exchange pulls the plug amid panic selling
Three industry leaders and <i>IN</i> editor Fred Gabriel chat about the forces that are shaping the advisory business. <b>Also:</b> <a href="http://www.investmentnews.com/gallery/20130605/FREE/605009999/PH?issuedate=20130623&sid=AI">10 advisers who transformed the business</a>
Mandatory arbitration has been generating plenty of headlines lately, but SEC Commissioner Elisse Walter says the regulator won't be addressing the subject any time soon.
The pressure is mounting to get rid of mandatory arb contracts. The latest: State regulators are urging the SEC to toss a Finra ruling that upheld Charles Schwab's use of the waivers.
Some banks indicating they may shut accounts to ease compliance headaches.
Apparently, deferrals on 'blank slate' of Baucus and Hatch; robbing Peter to pay Paul?
Finra claims StateTrust charged unfair prices in 563 transactions
The bond market's struggles have ignited investor interest in fixed annuities, though the products come with warnings, as insurers deal with the same rate pressure as bond owners.
The two helped set up program targeting advisers who give preferential treatment to clients.
Consolidating five platforms into one; rollout expected in September.
Regulator asking for list of top 20 producing reps at the targeted B-Ds who use social media.
Broker-dealers, feeling the heat from regulators, are changing how they sell alternatives. Bruce Kelly has all the details.
Judge tosses class action suit over investments in Apple REITs; Finra arb cases await
