Zomm, Phone Halo dialed in when you're not: why is your pocket flashing?
The discount brokerage allegedly let day some traders using borrowed money keep on trading -- even though the value of their holdings fell below regulatory minimums
BrightScope Inc. today launched a new tool that allows investment-only 401(k) asset managers to pinpoint which retirement plans are using their funds — as well as those of their competitors.
Broker-dealers are browbeating clients to settle arbitration cases by inundating them with requests for discovery information, according to a top state securities regulator
Faced with withering criticism about pay levels, the Financial Industry Regulatory Authority Inc. last year paid no bonuses to its top executives.
In February, S&P Equity Analyst Scott Kessler raised his fundamental outlook on the internet software & services industry to positive from neutral, reflecting what he views as a stabilized global economy that would contribute to more overall advertising spending, an increasing percentage of related budgets being committed to the Internet (versus so-called traditional media), and pricing for associated online offerings that is showing signs of improvement
Investors filing claims against brokerages would be able to request public arbitration panels without industry representatives under a proposal Finra announced Tuesday.
Joint task force holds panel discussion with ETF providers, experts
Another independent broker-dealer has bitten the dust, this time apparently because of some private placement deals that went bust.
Five leading financial regulators and a Treasury Department official told lawmakers today that their agencies are working together to implement the sweeping financial-regulatory-reform law.
President Barack Obama said it would be “irresponsible” for Congress to extend tax cuts for the wealthiest Americans and voiced support for Treasury Secretary Tim Geithner and National Economic Council Chairman Lawrence Summers.
Banks swarm the CFTC in a bid to to blunt new derivatives rules. One official described the campaign as 'unprecedented'
Few of September's star stocks look like bargains. But here are a few that do, according to John Dorfman, chairman of Thunderstorm Capital in Boston and a columnist for Bloomberg News.
Retail investors should be able to rely on the financial guidance they receive, regardless of whether it's from an investment adviser or a broker, according to the SEC official leading the agency's study of fiduciary duty.
The Securities and Exchange Commission is examining the burgeoning business of financial advisers' selling model portfolios of exchange-traded funds.
Regulator eyes cozy relationship between asset managers and hedgies, PE execs; 'proactive approach'
Obviously, compliance officers are very concerned about the use of social media, particularly by registered representatives.
