Any initiative that reduces investors' vulnerability to fraud, and thereby strengthens their confidence in the markets, is a step in the right direction.
Now that the Supreme Court has upheld the constitutionality of the health care reform law, advisers need to study it thoroughly.
Should provide better control, customization for those maintaining defined contribution portals
State lawmakers are chipping away at securities firms' ability to monitor employee activity on social-media sites, which could cause compliance headaches for both firms and regulators.
The securities industry in California is up in arms over a bill that would ban employers from requiring employees to hand over their social media passwords.
Merrill Lynch's proposed settlement with ex-brokers was aimed at limiting litigation. But some lawyers say it may trigger more lawsuits. Here's why.
Agreement will set the floor for future monetary claims; lowball figure would trigger new suits, lawyers say
The Hartford Financial Services Group Inc. is selling Woodbury, which has 1,400 reps and advisers, as part of a wide restructuring.
Product includes a lifetime withdrawal benefit backed by trio of insurers; UT says yes
If you build it — a website, that is — they may not come; referrals seen as the key
Midsize advisory firms that haven't moved to state regulation have until Dec. 17
A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.
