Waters says she's against Bachus bill; supports bulked-up SEC oversight Mark Schoeff Jr.
State regulators angered by 'astonishing attack...on federalism'; some claim measure paves the way for Finra oversight
Brokerage aiming to have ten such branch outfits in operation by end of year
On Wednesday, Rep. Spencer Bachus introduced his long-awaited bill that would establish at least one self-regulatory organization for investment advisers. The real question: Will it be Finra? The answer: It's looking more and more likely.
Schwab nabs new branch network boss in Jeffrey Carney
The Charles Schwab Corp. has moved closer to its goal of opening 12 to 14 franchised branches this year with the recent addition of three locations, said chief executive Walt Bettinger.
The Charles Schwab Corp. has opened its first franchised branch office.
Next Financial Group Inc. has agreed to pay $2 million in restitution to clients who bought oil and natural gas private placements of Provident Royalties LLC.
Rising unemployment data and weaker-than-expected economic growth have put a dark cloud over the markets to start the day
Commodities fell for a third day and are poised for the biggest monthly loss since the recession of 2008 as Europe's escalating debt crisis dimmed prospects for demand and sent crude oil into a so-called bear market
Clients often ignore art as an asset class. But given the results of recent auctions -- including the sale of 'The Scream' for $120M -- this could be a serious oversight.
UBS Wealth Management attracted more funds from wealthy clients in the first quarter than analysts estimated
Agree to return customer info in protocol flap; decision now rests with Finra panel
