Commission was seeking $245M boost in funding, got $50M; vote could bolster SRO backers
When it comes to getting financial advisers involved in social media, Lawing Financial Inc. of Overland Park, Kan., has found that nothing succeeds like success.
Champ replaces Rominger as head of Division of Investment Management
Australian firm claims offerings from TD, Schwab, others violate patent
Brookstone Securities socked by Finra for sale of CMOs to the elderly
Expertise in government medical plan will boost an adviser's business, help retain clients, surveys show
Secret to getting the most money from Uncle Sam is like the secret of comedy: Timing
The Securities and Exchange Commission lucked out with $136 million in extra funding from Congress this year, but it has to learn to stretch its budget further, according to an agency leader.
In the last 48 hours, Eileen Rominger, the new director of the Division of Investment Management at the Securities and Exchange Commission, has appeared before a congressional committee and addressed an investment advice industry group.
Which brokerage has the top stock pickers?
The legal woes of R. Allen Stanford, who was found guilty on 13 of 14 charges of fraud by a Houston jury last week, may be over.
The day after R. Allen Stanford was convicted of operating a $7 billion Ponzi scheme, members of Congress pressed officials of the Securities Investor Protection Corp. to reimburse his victims.
