Mary Jo White could be approved quickly by the full Senate to become the next chairman of the Securities and Exchange Commission. She might then move quickly on some investment-adviser related issues.
The SEC claims a onetime gubernatorial candidate sold investors nonexistent shares of Facebook and other social-media darlings.
Massachusetts' regulator claims junior analyst sent info to friend about much-anticipated IPO.
ICI chief Stevens says assumption that 401(k) plans aren't working is wrong.
It sounds like a no-brainer, but when advisers invest in technology, training often gets overlooked or minimized.
Court denies request by bank, Merrill on overtime suit.
Don't leave your loved ones without access to your funds
Ex can claim on former spouse's record, even one who hasn't yet retired.
The board is currently searching for a replacement for Rex Staples
Clients in self-directed IRAs turned over control; 20% returns pitched.
With hurricane season upon us once again, now is the time to make sure you are prepared
Clients leading advisers in technology use.
Financial adviser and IBD headcounts continue to shrink as training can't catch up with the drain of talent. But how's the rest of the business faring?
Get ready for a new level of transparency. Brightscope is gathering fee info from ADV forms and plans to begin publishing it later this year. Dan Jamieson has the details.
For Edward Kohlhepp, a certified financial planner with Kohlhepp Investment Advisors Ltd. in Doylestown, Pa., the memories of 9/11 are still vivid
Too many advisers are still mailing quarterly reports. Why?
Changes are expected as Finra considers its controversial broker-comp rule this week. Industry watchers say wirehouses are largely backing a recruiting incentive regulation but IBDs oppose it.
