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
Getting uncashed benefit checks to ex-employees a growing problem; death a bigger complication
Required disclosures mean advisers can easily benchmark performance; onus on advisers to prod stragglers to do better
Former South Florida lawyer Scott Rothstein was sentenced to 50 years in prison for using his law firm to run a $1.2 billion Ponzi scheme that financed a lavish lifestyle, bankrolled his firm and bought political influence.
Cuts for larger companies may be paid for by elimination of deductions for LLPs and LLCs
Raymond James Financial Inc. has become the latest financial services firm to help minimize the compliance barrier to wider use of social media
Schwab Advisor Services last week showed off the first of its completed integrations with Salesforce.com and announced a new partnership
I was thrilled to see another iteration of some of our recent technology survey data included in our INTech newsletter the other day.
A Finra arbitration panel has ruled against Société Générale SA and a handful of its affiliates, ordering the bank to pay $61 million to a California-based fund manager.
As Finra recently indicated in its summary of this year's examinations, <a href=http://www.investmentnews.com/article/20111221/FREE/111229981>, 2011 was a very busy year.</a>
