White House seeks to limit interest income that can be sheltered; states, cities already lining up against proposal
Despite bashing of ratings agencies, big conflicts still remain, researchers say; current model 'tragically broken'
For the past few months, Finra has been promoting itself as the logical choice to oversee the compliance efforts of RIAs. Thursday's announcement by the SEC -- that it has ordered the regulator to improve its own compliance -- probably won't bolster Finra's case. Neither will the revelation that a Finra director allegedly doctored records that the SEC wanted to examine.
The Treasury Department's Federal Insurance Office last week said that it is looking for public comments focusing specifically on systemic risk as part of a report on modernizing insurance regulations
Raymond James executives are taking steps to boost the profile of the firm's small custody unit, and they are hinting at bigger things to come
In what seems to be an about-face, wirehouses are embracing fixed indexed annuities, which offer investors a guaranteed-minimum return and the opportunity to partake in stock market gains
In this edition of 'Five Questions,' the boss of RNC Genter Capital Management talks dividends, gold, and P/E ratios
As sponsors of nontraded real estate investment trusts continue their full-court press on sales, some independent broker-dealers are dialing back their level of risk and have cut back, or are considering reducing, the number of REIT products they allow their representatives to sell
Have you ever received a LinkedIn connection request from someone and wondered, “Who the heck is this person?”
Financial advisers who think their millionaire clients would prefer sit-down meetings instead of e-mails or text messages may need to do a rethink.
Ten questions, ten answers from the iconic founder of the discount brokerage
United Capital Financial Advisers will acquire the assets of Peak Capital Investment Services – an advisory firm with $600 million in assets under management – executives revealed at the Schwab Impact Conference here in San Francisco today.
First, and most important, a large part of the late summer sell-off was precipitated by a growing belief that the United States and the global economy were about to enter another recession.
Comment by brokerage's CEO likely to tamp down rumors about E*Trade acquisition
Precious metal set to drop well below 1,600 within weeks, says chartist
Twenty-two of 25 people surveyed by Bloomberg expect the metal to rise next week, the highest proportion since mid-July.
The revelation that a Finra official allegedly altered requested reports is just the latest embarrassment for SEC chairman Mary Schapiro, who was in charge of the SRO when the document doctoring supposedly took place. <b>Big Picture</b> <a href=http://www.investmentnews.com/article/20111030/REG/310309968>Another black eye for Finra</a><br><b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20111021&Category=FREE&ArtNo=102109995&Ref=PH>Financial firms that have paid the most $$$ to the SEC in fines and settlements</a>
Although commodities are falling down on the job as a portfolio diversifier in the rough-and-tumble markets, it would be a big mistake to give up on the asset class altogether
Large-cap-value stocks stand out as the clear favorite in equities for the year ahead
