Based on what Treasury Secretary Timothy Geithner said last week, it seems unlikely that mutual funds are going to be designated as systemically important financial institutions under Dodd-Frank
With a number of independent broker-dealers on the block, it's a buyers' market for those firms looking to expand their business through acquisition
One day in September, “Ralph” was diagnosed with Stage IV cancer
Proposal would eliminate need to rely on credit ratings provided by S&P, Moody's, et. al; 'much more difficult to police'
Officials in Europe act swiftly to protect banks; 'false market rumors'
Proposal would require broker-dealers to publicly disclose information about shelf space payments from mutual funds
Despite a rebounding economy, the humber of 'underwater' mortgages in the U.S. now stands at a whopping 28%. And real estate analysts say there's more where that came from.
Additional $74M will also enable commission to update computers, hire more inspectors
Law's co-author comfortable with postponement of deadlines — if agencies need more time to gather info
In the give-and-take of congressional budget negotiations, the Securities and Exchange Commission got a little more funding than expected — but not nearly as much as it says it needs to perform its core functions while implementing the Dodd-Frank financial reform law.
Advisers may have a sense on how to prepare for a retirement that's right on time, but an unexpected retirement due to illness or layoff can shake even the most stable plans.
Making the case for alternative investments in a long-term, properly allocated portfolio is easy
First-quarter earnings at Wall Street firms with large financial adviser forces demonstrate that after two years of turmoil, the biggest players in the investment industry have righted themselves and are poised to build their businesses again
When it comes to taxes and tax planning, what we've got here is a failure to communicate
With criticism mounting about the lack of disclosure in the municipal bond market, the agency that oversees the sale of muni securities is working on initiatives designed to encourage broker-dealers and issuers to provide more information to investors
Rising medical costs and longer live expectencies are putting the squeeze on long-term-care insurance providers. This week, another carrier -- Guardian Life -- said it's exiting the LTC biz.
Hosted software specialist to add social networking capabilities to its offerings; Chatter up
Top-performing adivsory firms tend to employ fewer staff members, keep a lid on salaries and are more productive — largely as a result of wringing every bit of efficiency out of their technology, according to <i>InvestmentNews'</i> RIA Technology Study, to be published later this month
