Financial advisers often ask if there is a single good piece of prospecting technology.
Both legislative actions designed to make a point — not to make it into law
Lawmakers including Senators Carl Levin of Michigan and Jeff Merkley said Greg Smith's article showed why the U.S. needs tighter restrictions on Wall Street practices.
DOL said to be investigating claims Hutcheson stole money from plan sponsors; he trumpeted fiduciary standard to Congress
“There have been hundreds of money fund bailouts, where the funds would have broken the buck if the manager hadn't stepped in,” said Robert E. Plaze, deputy director of the Securities and Exchange Commission's Division of Investment Management
Launch of updated tablet likely to see computer giant pare back prices on existing model
Police claims James Scott McKee stole $584K from three investor; Finra alleges rep deceived clients for more than five years
Not every ballplayer can cash in like Prince Fielder, but at least arbitrators were there to backstop ex-Red Sox catcher Doug Mirabelli, awarding the knuckleball specialist $1.2 million in a suitability case involving Merrill Lynch.
My parents were married for 56 years, so when my dad passed away in 2006, it was no surprise that my mom suddenly found herself lost and alone.
NASAA today said advisers have until April 30 to sign up for a coordinated review program offered by state regulators.
Judge says claimant knew $3.1M salary offer was in error; 'eyes wide open'
Bob Mulholland, who was head of the wealth-management adviser group, was named head of wealth management and investment solutions
Even though roughly 3,000 investment advisers set to switch their registration from the SEC to the states by this summer, the commission's oversight burden will still be heavy. Limited resource means the regulator must conduct exams more efficiently, which translates to zeroing in on riskier practices.
State regulators said they'll help coordinate reviews among states for some midsize investment advisers who must switch to state oversight from Securities and Exchange Commission registration as prescribed by the Dodd-Frank financial reforms measure. <a href=http://www.investmentnews.com/article/20111207/FREE/111209948><b>(Read more)</b></a>
Industry groups are looking at getting behind proposals that would prohibit members of Congress and others involved in the legislative process from trading stocks or commodities based on nonpublic information related to their work in government
The following is an edited version of a speech given Sept. 12 by Elisse B. Walter, a member of the Securities and Exchange Commission, in Wichita, Kan., at the annual conference of the North American Securities Administrators Association Inc.
