Melding the search results of the two systems the public uses to look up information about financial advisers and broker-dealers will make it easier for investors to investigate their financial professionals, according to an SEC staff report released last week
Return to 2008 spending levels likely to hamstring SEC's — and others agencies' — ability to conduct studies, write new regs
In a sign that he wants to appear tough on Wall Street, Manhattan District Attorney Cyrus Vance Jr. said that he will seek harsher penalties, including mandatory prison time, for people convicted of major securities fraud in New York
Glass-Steagall may have gone the way of the Berlin Wall, but true integration of banking and brokerage has taken a lot longer to achieve than German reunification
After a short hiatus, Brian Stimpfl, former longtime TD Ameritrade executive, has landed at Actifi Inc.
Danny Sarch is entitled to pursue his blatant commercial self-interest through his regular attacks on Morgan Stanley Smith Barney, but he is not entitled to make false statements. In addition to inaccurate calculations regarding cash deferrals, his claim that “nobody ever suggested” branch manager bonuses “would be in anything other than cash” is untrue. <a href=http://www.investmentnews.com/article/20110125/BLOG01/110129981> (Read Mr. Sarch's Jan. 21 posting.)</a>
Although Americans' overall financial security and confidence in their ability to pay for their kids' college tuition has increased slightly over the past six months, financial advisers are observing mostly negative attitudes — with a few surprises
In a bid to sync up with Dodd-Frank, the Commission plans to hike the net-worth requirement for 'accredited investors.'
While in no way minimizing the tragic fate of Bernie Madoff's other victims, one can't help but feel immensely sad for Mark, whether he knew or didn't know.
The federal commission that investigated the origins of the financial crisis is set to issue three competing conclusions this week
Advisers are confused and un-certain about web-based document storage and document vaults
In the name of investor protection, we urge the Securities and Exchange Commission to exercise its rulemaking authority to require brokers to act in their clients' undivided best interests at all times. We are also reiterating our call for the SEC to recommend to Congress that the jurisdiction of the Financial Industry
Private placements require a higher level of scrutiny than listed securities, so advisers need to know who is doing the auditing and whether independent due diligence is being conducted. <i>InvestmentNews</i> News Editor Bruce Kelly explores some of the risks and issues engulfing the industry.
The leader of one of the country's most politically influential business organizations in a speech today criticized what he called a “regulatory tsunami” in Washington that represents the “biggest single challenge to jobs … and the future of American enterprise.”
Tax law a boon to wealthy savers who convert traditional retirement accounts to Roths this year
Social media sites such as LinkedIn and Twitter are redefining the way businesses reach their customers. Securities firms, however, are largely absent from the revolution.
Because of the near-mania over the Apple iPad, I've been bombarded of late by advisers who want to incorporate the device into their practices but aren't really sure what it can do for them.
Goldman Sachs Group Inc. halted an offering of Facebook Inc. shares to U.S. investors on concern that “intense media attention” on the deal may violate rules limiting marketing of private securities.
