It is time for the commission to get to work and craft a rule to make this policy a reality.
A Republican majority would likely boost the passage of GOP-favored bills, but not the consideration of industry concerns.
An elite private banking duo plans to take legal action accusing the wirehouse of wrongful termination last month, their attorney says.
While a lifesaver for some clients, they remain a high-fee trap for many.
How one brave federal regulator got the goods on the New York Fed's hands-off policy toward Goldman.
On Thursday's <i>Breakfast with Benjamin</i> menu: John Bogle says retirement plans will suffer under active management fees. Plus: Cheap oil's fallout hits gold prices, media hype overstates the Fed's taper tap-out, and more.
Firm looks to capitalize on adviser growth with tech upgrades, but no new robo-adviser in the offing.
Thomas Forma previously managed more than $300 million along with his partner Kevin Nichols.
Trio brought in $5 million in annual revenue at UBS and will join Merrill's elite private banking group. <i>See also: <a href="http://www.investmentnews.com/article/20141020/FREE/141029993/morgan-hires-long-time-merrill-broker" target="_blank">Merrill loses longtime broker to Morgan Stanley</a>)</i>
Rates tumble as Federal Reserve's easy money policy keeps going
Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.
Taking every precaution to guard against today's threats means focusing on both physical and electronic security.
CEO Wayne Bloom says the firm is considering how a robo offering could help its advisers better connect with clients.
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
Time the SEC revamped the accredited investor definition in a way that broadens the potential pool of investors and strengthens verification that they qualify.
Monday's <i>Breakfast with Benjamin:</i> How leverage led the market sell-off. Plus: Riding wild markets all the way to the elections, the tragic economics of Ebola, using all the Roth tools, more scary theories from Robert Shiller.
The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.
Merrill Lynch expects its revamped fee-based investments platform to pass $200 billion in assets by next week, notching a milestone in its massive platform overhaul.
Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.
LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.
