Officials forced to go virtual rather than show up in person; plenty of glitches
Increasingly, e-mail blunders are coming back to bite financial advisers and the firms they work for
Jefferies Group Inc. (JEF) agreed to pay about $2 million to resolve Financial Industry Regulatory Authority claims that three employees failed to disclose conflicts of interest while selling auction-rate securities.
Regulator said James J. Konaxis churned victim's accounts, earning about $550K in commissions. l
National Securities receives notice of imminent enforcement action; scrutiny likely stems from sale of Provident Royalties notes
U.S. millionaires would face an annual income tax increase of at least 10% under a deficit reduction measure proposed by Rep. Jan Schakowsky, R-Ill
Taxpayers still need to file by April 18 — even if federal government's gone fishin'
The mutual fund industry will be one of the targets of more-aggressive enforcement by the SEC, according to experts who spoke last week at an Investment Company Institute conference
The BlackBerry PlayBook tablet is a solid device, both in general terms and in the engineering of its hardware
New offering by Actiance Socialite allows brokerages, advisory firms to Tweet without fear
Thousands of financial advisers are running late in meeting the SEC's March 31st deadline for submitting their ADV 2 forms, a post-Madoff rule requiring plain English disclosure of their business. Need some quick tips? <i>InvestmentNews'</i> Liz Skinner and others weigh in.
Research in Motion Ltd., the maker of the ubiquitous BlackBerry, last week finally announced an arrival date for its much ballyhooed PlayBook tablet: April 19
The BofA-Merrill boss sounds set to take on recruiters, the threat of the rising RIA model, and anyone else who steps in her path
With the Bush tax cuts extended for another two years, wealthy Americans can expect their tax liabilities to remain the same, right?
The U.K. government proposed replacing its current means-tested state pension with a flat-rate payment of about 140 pounds ($225) a week, with the goal of increasing incentives for people to save for their old age.
Although many federally registered advisers were scrambling last week to meet the March 31 filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve
