But uncertainty remains, as latest deal only runs through Friday; commission still facing budget ax
Mutual fund companies are bracing for the expected passage this month of a proposed Securities and Exchange Commission rule that they say would completely undermine their internal compliance processes
Payment to the Bayou State marks third such settlement for the insurer in less than two months
Despite the fact that investors have lost billions of dollars in private placements that have blown up in recent years, the SEC last week said that it is looking to relax rules that regulate the marketing and sale of these offerings
Given the welter of compliance issues that they face, financial advisers remain understandably cautious about using social media.
The impasse on Capitol Hill over the federal budget may give more ammunition to proponents of establishing a self-regulatory organization for investment advisers.
Gregory Vaughan has the demeanor of your favorite college professor — accessible, attentive and humble
Advent Software Inc.'s announced $73 million deal for Black Diamond Performance Reporting LLC is the biggest news in portfolio management and performance reporting in years
Workers often leave 401(k) accounts with former employers for no good reason, survey finds; advisers missing a trick
Financial advisers and broker-dealers apparently aren't sitting on the sidelines waiting for Finra and the SEC to figure out how the financial advisory industry should use social networking
Aguilar, Gallagher tipped for relatively painless confirmation process
New report supports assertions that large number of ex-commission employees represent outside clients before the agency
Matthew McLennan (middle), portfolio manager at First Eagle Funds, and David J. Winters (right), manager of the Wintergreen Fund, sit down with WealthTrack's Consuelo Mack (left) at the Retirement Income Summit today in Chicago.
Davies latest in a series of of top execs who've left the financial firm since CEO change in 2008
Jamey Delaplane, partner at law firm Davis & Harman LLP, warned advisers in attendance at the <i>InvestmentNews</i> Retirement Income Summit that IRAs are likely to come under increased regulatory scrutiny.
BofA, JPMorgan and Wells looking to horn in on retirement plan biz; could be good news for employees
The securities industry wants no part of a Finra proposal to cap at 15% commissions and other fees for outside private placements, claiming that it would prevent small business from raising capital
