One of the most controversial creations of the Dodd-Frank financial reform law – the Consumer Financial Protection Bureau – is not supposed to creep into investment-adviser regulation, which is under the aegis of the Securities and Exchange Commission. But advisers should keep an eye on the agency; the Certified Financial Planner Board of Standards Inc. certainly is.
Regulator's recently-adopted rules seem to directly contradict the implicit promise of privacy from SEC/CFTC rule
When it comes to retirement benefits and survivor benefits, don't cross the streams
Actually, they can claim one type early and switch to the other later to maximize benefits
More than a third of Americans spent more last year to insure everything from homes, cars and boats to their own life and health.
In a surprise move, B-D cop Finra will allow RIAs to use its arbitration system. Why?
Celebrating rising value of health benefits a real reach; wage stagnation the issue
Move to suspend investments will give the government about $156B in breathing room.
A new Commodity Futures Trading Commission rule to harmonize certain CFTC and SEC mandates that apply to mutual funds investing in commodities is drawing criticisms.
By harping on the negatives of the deal, Republicans failed to get credit for protecting most of their constituents
Small-time -- and sometimes shady -- operators rose to prominence with advent of the ticker tape; mass-marketers
Pressure builds to scale back annual inflation adjustments
Although the brokerage industry's recruitment protocol continues to gain new members, some advisory firms are pulling out because they're not recruiting from the wirehouses.
Because of the open and interactive nature of social media, there are several risk factors of which financial advisers must be mindful and prepared.
Pundits express shock over deficit-ceiling work around; numismatists on the fence
According to sources, a heads-up from Finra led the SEC to investigate potential insider trading at SAC.
