State securities regulators sometimes must feel like schoolyard weaklings, constantly being picked on by the bigger guys in the political playgrounds of Washington.
The U.S. Securities and Exchange Commission, facing growing judicial scrutiny over how it resolves enforcement matters, was asked by a federal judge in Milwaukee to provide a “factual predicate” for a proposed settlement with a company accused of accounting fraud.
UBS AG appears to be making good on its pledge to sharpen its focus on wealth management and rein in its investment banking operations.
Insurer mulling raising fees and cutting benefits on popular product; low interest rates to blame
Class action discrimination suit looks set to go to trial after latest court ruling
Supreme court considers request for Social Security survivor benefits for twins born 18 months after father's death.
Lincoln Investment Planning Inc., a fast growing independent broker-dealer, is hitting its reps and advisers who run their own RIAs with a new, annual supervision and compliance fee of up to $20,000.
The SEC is preparing sanctions against Felix Investments LLC over trading of private-company shares, the first action to emerge from a broad investigation of transactions involving non-public startups.
Barney Frank, co-author of the Dodd-Frank financial reforms, will speak at a Goldman Sachs fixed-income sales event today
AUM down in 2011, but production up; 'focusing more on their larger accounts'
Lawyer who spotted broker fraud rewarded with five-year probe by regulators who said he failed as a supervisor
Employers are worried. They had expected that many of their retirement-age employees would have retired by now, but those graying boomers aren't budging.
Sen. Harry Reid strips controversial plan contained in highway bill; 2,000 letters sent
In case you missed <a href=http://www.investmentnews.com/article/20120212/REG/302129979>my last column</a> in the print edition of InvestmentNews on February 13, 2012, I wrote about one of the latest buzz words in retirement income planning: longevity insurance.
