Advocates of higher standard surprised at SEC official's comment
Current and ex-spouses don't have to share survivor benefits.
Pays fine, accepts suspension but B-D already closed, securities license dropped.
That's how a forensic accountant described the financial condition of superstar adviser Don DeWaay, who today agreed to a $3M settlement with investors.
The new SEC investor advocate establishes the narrative with story about his upbringing.
B-D regulator picks communications and gratuities — areas with plenty of complaints, questions — for initial focus.
New regulatory guidance likely to lead to new sites a la Yelp for advisory firms.
Brokers and investment advisers aren't the only ones <br>who should take the heat for rollover activity
Although Roth IRAs have been available since 1997, changes to the U.S. tax code have made these retirement savings accounts more popular than ever, especially for affluent investors. Here, with apologies to the Bard, are some pointers.
<i>Breakfast with Benjamin:</i> All eyes are on earnings. Plus: The SEC discovers high-frequency trading, momentum takes out passive investors, AAA credit ratings becoming extinct, new love for emerging markets, six solid stocks to watch this week, overwhelmed at the IRS, and Switzerland votes for the world's highest minimum wage.
Two advisers reunite after worked together at Alex. Brown before splitting.
Pretax income up 44%, while revenue climbed 12%.
Agency to enforce one IRA-to-IRA rollover every 365 days rule despite earlier interpretation
Fear of loss may turn you into the biggest loser
Tackles broker communications with the public as well as gifts, gratuities and non-cash payments; will look at other regulations.
All brokers and advisers still are subject to principles of human decency, in addition to compliance rules.
The rush to offer advisers compliant networks leads to a mishmash of options, as well as services to feed such sites
Inland American offers shareholders a way to cash out, but place limits on the buyback and values shares at no more than $6.50 a share.
