The online security landscape is changing in fundamental ways
State regulators are bracing for an onslaught of investment advisers who will have to register with them for the first time next year
The following are remarks delivered by Securities and Exchange Commission member Elisse B. Walter on Sept. 21 in San Francisco at the SEC's inaugural hearing on the state of the municipal-securities market
Looming hike marginal tax rates makes 2010 a good time to take bigger distributions, say advisers
The staunchest opposition to a universal fiduciary standard that would put clients' interests first isn't from securities brokers. It's from insurance agents, comments to the Securities and Exchange Commission show.
U.S. brokerages want to weigh in on how much the Financial Industry Regulatory Authority pays its senior executives and urged the watchdog to hire outsiders to investigate its ties to convicted money manager Bernard Madoff.
If carried to fruition, TD Ameritrade Institutional's latest technology initiative will be the first to open its application program interface completely to third-party technology firms able to pass muster during the custodian's security review of their systems.
The Financial Industry Regulatory Authority Inc. is telling its member firms to vote against a series of proxy proposals put forth by a small California broker-dealer.
An Ooltewah, Tenn., financial adviser has been sentenced to five years in prison and ordered to pay more than $2.7 million in restitution to his former broker-dealer, Ameriprise Financial Inc., after pleading guilty to misappropriating his clients' money while he worked for the Minneapolis-based firm.
Boston Private Bank & Trust, Inc. has knocked Bessemer Trust Co. off its perch in a poll of wealthy consumers.
Finra panel ruled that the B-D was 'negligent in not preventing' the outside business activities of a former broker
Broker-dealers are browbeating clients to settle arbitration cases by inundating them with requests for discovery information, according to a top state securities regulator.
Market regulators have fined a New York-based brokerage firm $1 million for creating a false sense of demand for stocks that earned it profits.
U.S. regulators said mutual funds aren't telling investors enough about why they use derivatives, with some funds providing “generic” disclosures and others failing to explain how the products affect performance.
Finra's efforts last week to open up its arbitration process have pleased — but not satisfied — critics who claim that the proposal doesn't go far enough to protect investors.
Highest earners will take big hits from hiked tax rate, cap gains charge; 'really scary'
The financial system experiences a crisis “every five to seven years,” JPMorgan Chase & Co. Chief Executive Officer Jamie Dimon told the Financial Crisis Inquiry Commission in January.
IT industry jumps ahead of banks in total payouts to shareholders 'excess cash'
Certified public accountants have been working on ways to add financial planning to their practices for the past 20 years
