Two weeks ago, Rep. Spencer Bachus said his SRO bill was on indefinite hold. But after his strident Op-Ed piece in Monday's WSJ, the issue is again front and center.
Understimate healthcare costs for clients and watch things unravel
Reimplementing Glass-Steagall won't change Wall Street's single-minded pursuit of the almighty dollar.
Man who helped get Glass-Steagall overturned now says banks should just be banks
A veteran regulator who has been instrumental on issues involving the investment advisory sector is leaving the Securities and Exchange Commission.
Although a chasm separates Democrats and Republicans over most of the Bush tax cuts, the difference between them on taxation of investment income is more of a rift. Democrats are seeking a 20% rate on dividends and capital gains, while the GOP wants to set it at 15%.
Sources say AIG's Advisor Group is one of four potential buyers for Woodbury, The Hartford indie B-D with roughly 1,600 reps
Goal line keeps getting moved back; 'how much you can do'
Regulator cites limited ability to protect investors; 'we could do more'
Regulators claim he misled hedge fund investors, misused money to support Chinese company
Amid cost cuts, SRO spends $550K to make its case on Capitol Hill
DOL official says plan sponsors have duty to monitor investment menu, even self-directed accounts
You can't fine someone unless you catch them. And most securities fraud goes undetected.
With taxes on the wealthy expected to rise dramatically, a small but increasing number of Americans are renouncing their U.S. citizenship. Is this smart planning or plain crazy? Advisers weigh in.
Support for Bachus bill seems to be fading as Congress hears more about possible Finra oversight
