Dually registered advisers will be one of the SEC's exam priorities for 2013. Oh yes, the commission also plans to focus on payments advisers make to companies that distribute mutual funds.
Commissioner Gallagher expects new proposal before the end of March.
As Financial Literacy Month quietly exits, the topic fails to generate much activity on Capitol Hill.
Report claims Montana preparing case against multiple LPL brokers.
Massachusetts Securities Division seeks payment to investors who bought shares of nontraded real estate investment trusts
Consumer group calls on regulators to tighten scrutiny of the more than 50 designations in use
28% limit not a 'helpful' policy for jobs or growth.
Finra wants to make the investing public aware of pending regulatory complaints against brokers. Some industry observers say the plan could do serious harm to innocent advisers.
If you're looking for investment adviser issues on Capitol Hill, you'll have to squin
Goal to increase investor awareness; comment period is open.
The Financial Planning Association is turning to a Washington, D.C., lobbying firm to beef up its efforts to influence federal and state lawmakers and regulators. The organization hired the Raben Group, a public affairs shop founded by Robert Raben, an assistant attorney general in the Clinton administration.
Senate Internet tax bill could open door to state levies, hitting advisers. Mark Schoeff Jr. has the details.
Letter says Labor rule would make SEC's cost-benefit effort worthless; some disagree.
The SEC on Friday charged indie B-D owner -- and 'Wall Street 2' actor -- Tommy Belesis with fraud, claiming he bullied a fund manager into giving him excessive fees.
Scheme to detonate backups in U.K. abandoned after big hit on forex bets; down 62%
As the debate over carried-interest taxes gains national attention, Robert N. Gordon warns that the levies wouldn't just hit hedge fund managers. Here's why Investors should be worried, too.
Ex-brokers' lawyer claims intimidation from B-D
Public announcements by large shareholders send share price zooming or plummeting; not illegal, but should it be?
