The unfolding drama at Jon Corzine's bankrupt trading outfit could give a serious boost to those who back financial reform, including the establishment of an investment adviser SRO and a universal standard of care.
Removes generators, gasoline cans from OWS site; 'pretext to make the protest less sustainable'
Price of debt servicing will climb considerably after city council sides with Occupy Los Angeles
It appears that convicted hedge fund manager Raj Rajaratnam will be sent to a penal facility known as the 'crown jewel of the federal prison system.' Certainly, the roster of inmates at the prison reads like a Who's Who of financial criminals, including Bernie Madoff, Ponzi artist Samuel Israel, and Adelphia's John Rigas. | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20111013&Category=FREE&ArtNo=101309997&Ref=PH>Which investment bigs sympathize with Occupy Wall Street -- and which don't?</a>
In a little-noticed but surprising move, the Financial Industry Regulatory Authority Inc. last week withdrew a controversial proposal to revamp its supervisory rules that would have, among other things, required supervision of nonsecurities-related businesses.
Investor Phillip Frost, the largest shareholder in and chairman of Ladenburg Thalmann Financial Services Inc., issued a challenge Friday to the independent-brokerage business, saying that the firm's plans to expand are second to none.
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Group touting the virtues of pre-paid tuition program that locks in rates at non-state schools
Looking beyond the technology-centric U.S. market is key to building a solidly diversified portfolio of tech stocks, according to Ian Warmerdam, manager of the $300 million Henderson Global Technology Fund.
More so than most other legislation, the 849-page Dodd-Frank Wall Street Reform and Consumer Protection Act reached the president's desk on July 21, 2010, as a work in progress.
Regulator claims outfit never bought single life settlement policy but sold debentures using the firm's name
In a move that could affect the sales of securities and insurance in the state, Iowa's insurance regulator this week is expected to issue guidance on how far insurance agents and brokers can go in advising clients on the suitable sources of funds for insurance products
Annuity exam overload, including extra training, could prompt some advisers to limit customer choice.
Bill should be good news for FAs who work with state and federal agencies; FSI lauds passage
The bad news: the hike for retirement plan kick-ins is puny, while the estate tax exclusion plummets next year
Citing costs, government pulls plug on controversial long-term-care insurance plan; 'we're right where we have been operating'
