The Dodd-Frank financial reform law is an intimidating piece of legislation, if not for the breadth of its reach and ambition, then certainly for its sheer size — all 2,300 pages of it
The SEC's schedule of investment adviser examinations will likely grind to a halt if the federal government is forced to shut down Friday
Twenty-two lucky youngsters from across the country, recipients of scholarships from Sun Life Financial Inc., were able to rub elbows with Miami Dolphins wide receiver Davone Bess and tennis star Venus Williams last weekend
In a move that could affect what broker-dealers charge clients for securities transactions, Finra this month proposed dropping its long-standing 5% markup/markdown policy
Despite the spreading turmoil in North Africa and the Middle East, and an ominous rise in the price of oil, financial advisers say their clients are not pressing the panic button
There are thousands of mutual funds that advisers have to choose from — but a handful of funds garnered a major portion of advisers' attention last year. Here's the top ten.
In what's become an all-too-familiar scene, another small, indie brokerage is closing up shop. Ensemble Financial Services Inc., located in Pittsford, N.Y. will soon be shuttering its B-D operation -- and its 85 registered reps will be moving on.
Three independent broker-dealers are suing their respective insurance carriers for failing to cover investors' legal claims, with one charging that its insurer has exposed it to “financial ruin”
A reported pricing probe by the Securities and Exchange Commission is just the latest 'oh no' moment for the muni bond biz
Two broker-dealers have emerged as early winners in the fight over the 400 representatives affiliated with QA3 Financial Corp., which officially shut down Friday
Securities Service Network Inc. is the latest broker-dealer to pull the plum out of the pie of the defunct <a href= http://www.investmentnews.com/section/broker-dealer-data-profile&R=290006&Y=2009 >QA3 Financial Corp.</b>
Will serve as managing director for firm with $7.1B in AUMs; outfit started out as John D.'s family office in 1882
Says flood of comment letters raised some important points, which commission will consider
Pitkowsky and Trauner unveil concentrated Goodhaven Fund; 'don't need to create an empire'
Management at Wells Investment Securities -- the broker-dealer of Leo Wells -- says the B-D is on Finra's radar. Apparently, the regulator is set to discipline the firm for allegedly violating advertising and data protection rules.
Rejiggered, standalone line of business now reports directly to the CEO; meanwhile, investment product management boss departs
Firms with $1B in assets under management would be subject to the proposed rule; 'unintended consequences'?
Execs at wirehouses may say their businesses are not threatened by RIAs, but assets managed by independent, fee-based advisers are surging
Kenneth Griffin's hedge fund cuts holding from 27% to under 20%; hedgie injected $2.6B into brokerage three years ago
Lawyers cite risk of information overload; 'confusing' to participants
