Western & Southern Financial Group yesterday said it had sold the assets of its independent broker-dealer, Capital Analysts Inc., to Lincoln Investment Planning Inc.
Ratings cuts of two or more notches are expected to pick up over the summer as agencies review their methodologies
Returns for top-rated tax-exempt paper on a par with Treasuries; lower-rated debt the better bet, say experts
From apps to amplitude, embracing old and new media can pay off for advisers
Con artists deluging investors with Internet scams; the latest: an e-mail claiming your firm is being investigated by the SEC's whistleblower office
SEC's cost-benefit analysis could prove to be tricky; a little hard 'to get your arms around'
Judge upholds Finra's earlier decision in muni bond fund dispute; ordered to pony up $54M
The SEC's move to step up enforcement actions against investment advisers is only the tip of the iceberg, according to one former SEC official.
Program is for investment advisers now registered with the Securities and Exchange Commission who must register with anywhere from four to 14 states.
Signatures on letters often followed by 'RIA,' implying earned designation; it's not
The Securities and Exchange Commission has pledged to write more clearly beginning this fall.
Commission said to favor plan requiring funds to hold cash reserves; floating rate NAV for those that don't
Wealthy locking in 35% tax rate before death tax returns; 'Throw Momma from the Train' law
Even in death, George Steinbrenner went out a winner.
Eight straight weeks home loans have hovered around record lows; should client's refi?
More than 70% agree that wealthy should kick in more, but half say they're not wealthy
New Jersey's wealthy saying goodbye to on-demand garbage pick up, hello to higher property taxes
COR Securities agrees to buy clearing firm, makes offer for holding company of two indie B-Ds
