Client 360 has been officially reborn.
Scuttling the Administration's tax proposal would hit average Americans squarely in the wallet; the fate of refundables?
The Securities and Exchange Commission budget would receive a significant boost under a bill proposed on Tuesday by the Senate Appropriations Committee.
Despite grousing from the left, it looks as if Republicans will get pretty much what they want on estate tax policy — if, as expected, Congress approves a bill that would extend all Bush-era tax cuts for two years
Legislation that would extend for two years Bush administration tax cuts for all income levels cleared a Senate hurdle today.
Advocates of a universal fiduciary standard of care for all advisers and brokers are hoping that the recent insider trading probe will help their cause.
Regulations may prohibit reps, providers from competing in the lucrative market
Two former Wachovia Securities brokers tricked dozens of mostly elderly clients into investing in what were supposed to be can't-miss opportunities, only to lose roughly $8 million, according to a lawsuit filed by the Securities and Exchange Commission.
House Democrats may try to amend the estate tax provision of a bill that would extend Bush administration tax cuts for all income levels after the Senate acts on the measure early this week.
Officials at the Securities and Exchange Commission are considering setting limits on computer-trading algorithms — and may choose to require broker-dealers to monitor their orders — in the wake of the May 6 flash crash.
Commission aims to beef up reporting requirements for broker-dealers that custody assets
The Securities and Exchange Commission has named Jennifer McHugh, a senior adviser to Chairman Mary Schapiro, the acting director of the Division of Investment Management, replacing Andrew J. “Buddy” Donohue, who left his post on Nov. 19.
UBS AG's retail-brokerage operations in the United States lost $63.8 million pretax in the second quarter, reversing a pretax profit of $14.3 million in the first three months of 2010.
Working with advisers over the years, I've seen firsthand how creating and executing a solid succession plan can be fraught with pitfalls
Democrats may not be happy with the Administration's plan to revive the levy, but there may not be much they can do about it. Here's how things shake out right now.
<i>The following is an edited transcript of the webcast “<a href=http://www.investmentnews.com/apps/pbcs.dll/dcce?Site=CI&Date=20101026&Module=18&Kategori=webcasts&Class=18&Type=ACTIVE_WEBCAST&ID=2502244&Selected=4>Making the Switch to State RIA Regulation</a>,” held Oct. 26 in New York. It was moderated by news editor Bruce Kelly and reporter Mark Schoeff Jr.
