President would tax wealthy to pay for 'middle-class' gains, SEC gets budget boost.
Arguments continue on both sides about the merits of the <a href="//www.investmentnews.com/article/20150123/FREE/150129956/brokers-under-white-house-scrutiny-for-costing-workers-billions-in"" target=""_blank"" rel="noopener noreferrer">recently-leaked White House memo</a> and what it means for the standard's future prospects.
A former investment adviser who was barred from the industry and has since been working as a “money coach” is back in front of a judge on charges that he never stopped advising clients. <i>(See also: <a href="http://www.investmentnews.com/gallery/20141231/FREE/123109999/PH?NLID=daily&NL_issueDate=20150102" target="_blank">The craziest regulatory blunders of 2014</a>)</i>
Owner of defunct broker-dealer faces an SEC suit for allegedly selling shares of a tech company more than once &mdash; to the tune of $900K.
FSI sets sights on shaping any legislation dealing with data breaches and privacy to avoid 'one-size-fits-all.'
Families may get to pay for computers again with these popular college savings accounts.
Self-styled 'Deficit Owl' believes government can spend as much as needed to spur economic growth, get to full employment.
New government research says some broker practices are costing investors $8 billion to $17 billion a year, and the White House may now support tighter oversight of brokers who handle retirement accounts.
What do a spouse's efforts mean for the valuation of a business and its division in two?
Mary Jo White is poised to reveal what she believes is the best way for the SEC to address fiduciary duty, with the SEC planning to make a determination this year as to whether to propose a rule or take another approach.
The custodian is planning to sponsor a grassroots effort among registered investment advisers to compete with brokerages when lobbying for their profession.
The fiduciary motivation to avoid losses tends to be greater for advisers than the risk of not growing client wealth
Group set to launch lobbying days in Florida, Texas, New York and California.
Investment Adviser Association names its general counsel, Karen Barr, as its president and CEO.
The prospects of the passage of fiduciary rules to protect investors looked bright four years ago, but have waned considerably. Mark Schoeff Jr. looks at what's changed.
Most advisers are assessing electronic security, but approaches and frequency vary widely.
The hottest topics to keep tabs on in the independent broker-dealer space
From the advisory business model to crowdfunding to elder financial abuse, discussions taking place despite congressional gridlock
<i>From TD Ameritrade Institutional's national conference:</i> RIAs need to document the testing of their continuity plan if they want to stay out of hot water with regulators. Here's what you need to know. <i>(Don't miss: <a href="http://www.investmentnews.com/section/video?playerType=Events&eventID=TDAI2014&bctid=3126949758001&date=20140130" target="_blank">TD Ameritrade Institutional's Tom Nally talks about how advisers can reach NextGen clients</a>.)</i>
Finra's just-released regulatory and exam priorities for the new year include an unusual directive that brokers act in the best interests of clients regardless of current rules.
