Securities regulators continue sorting through public input on proposed rules that address broker-dealer financial responsibilities.
Oral arguments are scheduled for Nov. 5 before the U.S. Supreme Court in a case that could affect 529 college savings plans.
A bill introduced in August would create a commission to study the hedge fund and private equity industries.
Congressional hearings held last month addressed the contentious issue of taxes paid by managers of hedge funds and private equity funds.
More wirehouses and B-Ds realize they need to allow advisers to take on fiduciary services.
Hedge fund managers, traders and analysts are keeping a close eye on the weather — and not just to get an idea of what the weekend will be like.
Automatic features are gaining momentum in the 401(k) arena, according to financial advisers.
The new brokerage, to be called Wachovia Securities LLC, will be based in St. Louis.
AIG will trim 600 positions as one of its subsidiaries merges with 21st Century Insurance Group.
B-Ds facing litigation from FINRA might be better off fighting rather than settling, according to a study.
Two of the world’s largest insurance-and-financial-services trade organizations have announced plans to merge.
The SEC has filed settled enforcement actions against two B-D firms and their CEOs for fraudulent auction practices.
Goldman Sachs analyst William Tanona expects Merrill's third-quarter earnings to decline by 89% to $208.9 million.
