A last-minute effort by three senators to add what they call crucial investor protections to a bill designed to help small companies raise capital fails to address worries by state regulators that states will be prevented from reviewing securities offerings made over the Internet.
Calculating how much money would have been raised if rates were higher is weird science, at best
Odds stacked against investors, brokers
Sean Quinn, once Ireland's richest man, lost $1.3B on AIB bet
State securities regulators warned senators today about the potential dangers of legislation that would allow start-up firms to raise capital over the Internet.
SEC boss says investors need protection -- and aims to provide it; 'working without a net'
Skyrocketing costs of private schools has advisers telling clients to consider less-prestigious -- and less expensive -- colleges for their kids
Last week, while Fidelity Institutional Wealth Services representatives talked about the results of their recently completed RIA benchmark survey, I just wanted them to skip ahead and discuss the online adviser dashboard.
The door from the trading floor to the chief executive's office opens, and before it can close, the voice of a broker working the phones is heard, using a line that could have been lifted from the Shearson Lehman playbook of the go-go 1980s.
Firm allegedly failed to disclose use of derivatives in two funds adequately; agrees to pay $35M to settle the charges
Proposed 2013 budget would gut dividend tax break, impose Buffett rule, raise top marginal rate to nearly 40%
Observers find proposals to be well intended, but say workers have a lot to learn on annuities
Newly released final rule for disclosure to plan sponsors to kick in this July; controversial proposals dumped
