The exam brings the SROIIA a little bit closer to acting as a self-regulatory organization over investment advisers. But will the SEC approve?
The awards, which will be presented Sept. 14, honor financial advisers who make a difference in their communities.
Money-market mutual funds took in $24.9 billion yesterday, bouncing back from their second-worst week of withdrawals, as investors unsettled by the debate over raising the U.S. debt ceiling returned to the market.
Taxpayers will be able to examine the qualifications of paid tax-return preparers in a database being built by the IRS that may be available as soon as 2013.
Four major life insurers with pristine Aaa ratings are likely to hold on to their status, provided that the United States' government bond rating doesn't fall by more than one rung
Influential group will endorse one of its own for small-firm seat; ramped-up regulations No.1 concern
In the high-stakes political game surrounding the adoption of a fiduciary standard, broker-dealer interest groups have outgunned their opposition in spending.
Donor-advised funds are benefiting from small family foundations' closing or suffering drops in endowment assets as the costs and administrative burden of running the foundations have become too great
The creation of a self-regulatory organization for investment advisers took a step forward last week when the Consumer Federation of America dropped its longtime opposition to the idea, saying that an SRO would be better than relying on the chronically underfunded SEC as a regulator
Imagine a day when you go to buy a quart of milk, ask the price, and the cashier says, "that'll be a tenth ounce silver." As the US dollar's decline accelerates, several efforts around the country are trying to make this vision a reality.
Commission wants complaints lodged via e-mail, fax or online — but not by phone; what would McGruff think?
In a battle over Dodd Frank, House Republican want whistle-blowers to go through compliance departments first, then the SEC. Democrats say that's backwards.
Since the US economy has failed to recover as widely predicted, pressure on the Federal Reserve to conjure a solution has increased.
With the market selling off, Warren Buffett has been moving in. In fact, SEC filings show the Oracle has been loading up on stock, particularly shares of Wells Fargo. This may be of some interest to advisers, considering the bank's P/e ratio is now less than 9 to 1.
$250K limit can easily be bumped up to $2M; CDARS, brokered CDs gaining in popularity
Ramped-up role in spelling out tax implications of stock sales might well be 'differentiator' in landing prospects; boon to some, bane to others
Ameriprise, MetLife and Prudential among those favored in a plummeting market
Given the media frenzy over the market mayhem this week, clients are understandably blitzed, bothered and bewildered. Here's what advisers should be saying to calm them down.
