U.S. regulators said mutual funds aren't telling investors enough about why they use derivatives, with some funds providing “generic” disclosures and others failing to explain how the products affect performance.
Finra's efforts last week to open up its arbitration process have pleased — but not satisfied — critics who claim that the proposal doesn't go far enough to protect investors.
Highest earners will take big hits from hiked tax rate, cap gains charge; 'really scary'
The financial system experiences a crisis “every five to seven years,” JPMorgan Chase & Co. Chief Executive Officer Jamie Dimon told the Financial Crisis Inquiry Commission in January.
IT industry jumps ahead of banks in total payouts to shareholders 'excess cash'
Certified public accountants have been working on ways to add financial planning to their practices for the past 20 years
American Funds, Fidelity Investments and Lord Abbett & Co. LLC are among a number of fund companies that will have to rethink how they serve the retirement marketplace through advisers if a proposed revamp of 12(b)-1 passes.
Talk about a fashion statement.
Financial advisers say clients are booking gains now at cheaper tax rate; 'better bang for the buck'
Whether it's helping downsized clients, assisting retirees whose benefits are being chiseled away or advising small-business owners on health care options for their companies, a growing number of financial advisers find themselves navigating the murky waters of health care insurance.
The commission proposes to reverse Dodd-Frank proviso and reinstate the exemption shielding smaller operations from the agency's oversight
Technology will be the key that unlocks the mass-affluent market for financial advisers
Without a doubt, the answer to the question “What makes a person rich” marks a political divide in this country – a divide that is widening by the second as the mid-term elections fast approach.
Broker-dealers' sales of structured products, including private-placement notes and reverse convertibles, remain a top concern of state securities regulators, according to Joseph Borg, director of the Alabama Securities Commission.
In-vitro fertilization spawns confusion among wealth managers, trust attorneys; 'wide-open field'
When it comes to investment strategies, 94-year-old Edward Zajac takes the long view. And it's paid off handsomely.
The longer Congress drags out setting an estate tax rate and exemption level, the less likely it is to impose a retroactive tax for 2010, according to an economist with a leading agricultural organization.
ETF providers are lobbying for tighter restrictions on market orders as regulators consider additional rules to avert another “flash crash.”
